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THE COMPANY:

Our client is medium sized Wholesale European Bank with exciting growth plans. They are looking for a Assistant Compliance Officer to join their London based Offices. This is a fantastic opportunity for someone who wants to join an exciting company and influence its Compliance culture

THE RESPONSIBILITIES:

• Assisting Compliance Officer/ MLRO as required
• Advise management and staff on regulatory matters
• Monitor staff training and ensure that all appropriate employees receive necessary training
• Fostering a good relationship with the business and projecting a supportive compliance culture within the business.
• Developing knowledge of the various rules and regulations which impact the bank's business
• Undertaking monitoring in accordance with the published compliance monitoring programme and where issues are identified making appropriate recommendations to the business to strengthen compliance controls
• To maintain register of Approved Persons and to ensure that Statements of Principle are followed
• To maintain records for Private Account Dealing and Gifts and Benefits
• To send out the relevant notifications to the clients
• To assist with the bank's Compliance Concept in London observing the special legal and regulatory requirements
• To assist with the compliance with the Code of Market Conduct and Conduct of Business Rules, to update internal polices and procedures where necessary
• To maintain the stop list and insider register

Anti Money Laundering

• To assist to ensure that the procedures and responsibilities for monitoring compliance with and effectiveness of money laundering policies and procedures are clearly laid down and communicated to management and staff
• To monitor the day to day operation of bank's anti-money laundering policies
• To take reasonable steps to access and check any relevant ‘Customer Due Diligence' information
• To ensure that Relationship Managers are making periodic (at least annually) returns confirming whether there have been any changes to customers' legal structure or to the original nature of business activity and report the changes to Compliance Officer/MLRO
• To classify clients for Anti Money Laundering purposes.

EXPERIENCE REQUIRED:

• Preferably University degree and diploma compliance and AML
• Good compliance experience (Regulatory framework/Monitoring) and solid KYC experience incl. processes and procedures
• Experience from an EEA wholesale banking environment

For further information please contact Hannah Tabatabai

Compl3811

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