Compliance Officer (12 month Fixed Term Contract) bei William Blair
William Blair · London, Vereinigtes Königreich · Onsite
- Professional
- Optionales Büro in London
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William Blair has delivered trusted advice for nine decades, and we continue to deepen our expertise and relationships across regions, asset classes, and markets throughout North America, Europe, Asia, and Australia.
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We are looking for a motivated Compliance Officer to join our Compliance team in London. This is an excellent opportunity for the right candidate to gain exposure to a leading financial services institution in a fast pace yet friendly environment. The candidate will be dedicated to the Investment Banking side of the business and will need to be knowledgeable of the Corporate Finance and Private Side regulations and practices. The Compliance Officer will also be responsible for providing support to Investment Banking businesses with core compliance processes (such as Gifts & Entertainment, Personal Account Dealing, AML onboarding), and a previous experience in a Control room and/or knowledge of using Control room systems would be appreciated.
Responsibilities include but may not be limited to:
- Partner closely with investment bankers, understanding their business and advising on key risk questions.
- Provide guidance to business on AML issues, including financial crime risk assessments for new client take-ons.
- Escalate identified financial crime findings to the Money Laundering Reporting Officer and the Board of Directors in a timely, accurate and compliant manner.
- Involved in AML and KYC processes (facilitating the onboarding process with the Bankers and our third-party KYC Search provider).
- Regulatory monitoring and advice on M&A and other Investment Banking transactions (MAR Market-sounding process, Transactional conflict management, advice on public-private matters).
- Key contact person for compliance-related queries from the core Banking business lines.
- Maintenance of Banking compliance registers and attestations, records, such as personal account dealing, outside business activities, conflicts register, and breaches register.
- New joiner onboarding for Banking new employees.
- Compliance surveillance and testing based on the annual Compliance Risk assessment.
- Coordination of compliance training to staff (including Inductions for new joiners in Investment Banking).
- Frequent contact with the business on compliance queries, as well as colleagues within the various overseas offices.
- Review and update Investment Banking Policies and Procedures per our annual compliance policy review program.
- Provide support to the Chief Compliance Officer on Compliance projects.
- Participate in other global projects as requested from time to time.
Qualifications:
- University degree or Compliance Certification equivalent.
- Previous Core Compliance and/or Control room exposure is preferable and/or private-side compliance advisory background.
- Strong knowledge of UK Financial Crime/KYC regime and ability to apply this to the UK William Blair business lines.
- Robust knowledge of Core Compliance processes and Private Side applicable UK and Mifid Regulations and practices.
- Experience in managing Control Room Systems (MyComplianceOffice).
- Ability to draft policies and procedures as necessary.
- Strong Microsoft Office skills.
- Excellent organizational skills and detail orientation.
- Ability to manage multiple projects within prescribed time periods.
- Ability to cooperate in a team environment.
- Robust Investment Banking and Private Side regulation and practices.
- Concern for Quality and Excellence.
- Enthusiastic, excellent communicator, and problem-solver.
This role is a 12 month fixed term contract
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William Blair is an equal opportunity employer. It complies with all laws and regulations that prohibit discrimination in employment practice because of race, color, religion, creed, ancestry, marital status, gender, age, national origin, sexual orientation, unfavorable discharge from the military service or on the basis of a physical or mental disability that is unrelated to the employee's ability to perform the duties of the job applied for. EOE m/f/d/v
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