We are looking for a talented individual to join our Compliance team. Compliance’s focus is on ensuring that the Company is able to meet its regulatory requirements both in the UK and across the countries that we operate in.
Given the Company’s rate of growth, world-wide distribution model and the potential changes to regulation, the successful candidate will be expected to work with the team and our internal stakeholders, participating in a number of interesting and challenging undertakings.
We are looking for someone with a passion to learn, ability to work with their team and the wider business across a number of key areas. Key responsibilities:
- AML monitoring, Sanctions Check, KYC, account opening & client classification; developing compliance management information
- Advising underwriters on sanctions or licensing issues and answering underwriting queries
- Preparing and submitting relevant FCA reports and assisting on CASS 5 Audit
- Trade sanctions, corporate governance, data privacy, anti-bribery & corruption, third party payments, cross-border issues, conflicts of interest
- Reviewing data protection/AML policies and guidance documents to ensure they are up to date with any future changes
- Proactively communicate issues which may impact policies; business processes; management and compliance risk management controls.
- Identify incidents of non-compliance, investigating and responding as appropriate and assisting in the provision of management information to the management team
- Any other job as assigned by the senior management from time to time