Freelance Compliance Officer

Compliance Monitoring is a key second line of defence for the Group in meeting regulatory expectations, improving the Group's systems and controls and providing reasonable assurance of adherence to the firm's regulatory obligations and thereby avoiding regulatory censure. The role covers the full remit of compliance topics, including but not limited to Conduct Risk, Market Abuse, Conflicts of Interest, Customer Protection, Governance, Sanctions, Transaction Monitoring and KYC.

• Executing and reporting on assigned Monitoring reviews (both on regulatory compliance and financial crime topics) within assigned deadlines;
• Documenting working papers and reports clearly and concisely, in a re-performable manner which can withstand third party scrutiny, and in accordance with Monitoring policy and procedures;
• Drafting Monitoring issues, risk statements, root cause analysis, issue impact and actions, with support from the Monitoring Team Lead and EMEA Head of Monitoring;
• Being accountable for the factual accuracy and quality of all output - including Management Information prepared or ad hoc tasks;
• Liaising with review stakeholders, with support from the Team Lead, to present findings and agree smart remediation actions;
• Proactive and robust issue follow-up. Prompt escalation of overdue actions and extension requests;
• Participate in the completion of local risk assessments
• Attendance and contribution to EMEA Monitoring team meetings and review collaborations between EMEA offices;
• Attending necessary training sessions and seminars in order to be updated on legal and regulatory compliance developments;
• Keeping abreast of changes in products/activities of the Bank and/or regulations that may have impact on risks to the bank or the scope of assigned reviews.