Special Assignments

Legal, Risk & Compliance Officer

Published:
13th September 2023
Location:
near London City Airport, United Kingdom
Category:
Job Type:
Salary:
up to £45,000 per annum
Role:
Compliance

Description

We are working with a prestigious commodities firm specilaising in precious metals who are seeking a 2nd in command to the Head of Compliance and MLRO.

As a Compliance & Risk Executive, you will provide support and ensure regulatory compliance across the organisation and for clients, suppliers and partners.

As their compliance function is in the early stages of development, you will be:

  • Working alongside the Head of Compliance to create a risk reporting framework that will help minimise regulatory risk and develop and deliver compliance training to colleagues.
  • Construct, review and maintain compliance policies, procedures and processes to ensure that the systems and controls framework is adequate and up-to-date
  • Restructuring customer e-commerce, retail and sales journeys implementing new and improved streamlined/leaner compliance processes.
  • Conduct compliance reviews, perform compliance monitoring, internal audits and surveillance to ensure that policies, procedures and practices are being followed and adhered to.
  • Assisting with the company’s yearly audit of supply chain due diligence producing pre-audit documentation, and assisting with onsite audit visits.
  • Ensuring that the AML systems and controls meet regulatory requirements and are complied with
  • Preparing internal reports and management information, assist on filing regulatory reports
  • Monitor UK and EU regulatory developments relevant and applicable to the firm and provide impact analysis, work on projects to implement any changes that may be required
  • Additionally, you will be managing all client onboarding, undertaking KYC, OSINT and due diligence on clients, suppliers and partners, including a demographic of HNW (high net worth) and UHNW (ultra-high net worth) private individuals, retail client, bullion traders, large corporations, financial institutions and global mining companies.

Requirements

  • Demonstrable experience of operating in an investigative, regulatory or compliance environment.
    Knowledge of client onboarding processes including KYC, OSINT and due diligence procedures
  • Strong analytical and critical thinking skills, with the ability to extract insights from diverse and complex data sets.
  • Excellent communication skills, both written and verbal, to convey findings effectively.
  • Knowledge of project management for procuring goods and services and conducting due diligence on companies/individuals in both the UK and international jurisdictions
  • Demonstrated ability to work independently and in a team-oriented environment.
  • Excellent working knowledge of the Microsoft 365 suite and apps and verification tools
  • Ability to work in a fast paced environment
  • Familiarity of GDPR, anti-money laundering and anti-bribery legislation is advantageous

Preferred Qualifications

  • Educated to a degree level or equivalent and/or ideally with a legal or compliance qualification
  • Knowledge of UK and EU regulations
  • Familiarity with analysis tools for mapping and visualisation.(preferred, not essential)

Please note due to the nature of the business this role will require 5 days in the office (non-negotiable) 

Aisha Ishaq

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