Compliance Officer



* Lloyds registered broker
* Permanent
* 3 days in City & 2 days from home
* Salary - Competitive



To provide technical advice, guidance and solutions for compliance queries to front end teams; including, but not limited to, sanctions queries, agreement reviews, operational assistance, complaint handling, and KYC on-boarding. As well as reviewing procedures, carrying out gap analysis on new legislation and regulation and training the business in relation to conduct, conflicts and general FCA principle focused compliance.

Requirements

* Experience within a compliance role, ideally from a Lloyds market background
* Conversant with the aims and requirements of the FCA including TCF and SMR
* Understanding of FCA rules in CASS, ICOBS
* Basic understanding of FATCA
* Use of FCA online systems (GABRIEL and Connect)
* Familiarity with Lloyd's processes and procedures including Crystal
* Understanding of TOBAs
* In depth knowledge of international financial sanctions
* Understanding of overseas insurance licensing



Ref - 8301

MW Appointments is acting as an Employment Agency in relation to this vacancy.