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Head of Compliance and MLRO

4 months ago

Basingstoke Hampshire, United Kingdom THC Recruitment Full time €24,000

Our Client is a fast-growing and prestigious lender based in Basingstoke who are looking for a Head of Compliance and MLRO to join their Team.

The successful candidate will be responsible for compliance and MLRO functions and managing a small Team.

Primary Responsibilities

  • Drive compliance of the Branch with all UK Financial Services and Data Protection legislation, regulations, and applicable codes of practice in the sectors and markets in which the Bank operates in the UK (excluding company and corporate law, accounting, pensions and tax law, property law, Health and Safety law and employment law and allied regulations and guidance). Develop internal processes and procedures, in line with the requirements of the relevant legislation and the relevant industry guidance applicable in the UK.
  • Identify potential areas of compliance and money laundering vulnerability and risk and develop/implement corrective action plan(s) for resolution of problematic issues and provide general guidance on how to mitigate and avoid the identified risks recurring.
  • Provide the Bank with UK and Isle of Man financial services compliance advice and financial services compliance support on corporate projects.
  • Actively promote compliance awareness within the Branch and across the wider Bank (including the MFG group (Group)), and the development of a positive risk and compliance culture, including the provision of regulatory compliance, AML and risk-related coaching to the business as required.
  • Review and analise new UK legislation and regulation, engage with the business (and external specialist/professional providers (e.g., lawyers/accountants) to assess the impact on the business of the Bank, and plan the implementation of regulatory change and embed the same within the Branch, Bank and Group as well as within their policies and procedures.
  • Implement effective issues and actions tracking, with appropriate escalation and reporting, for open risks relating to the Branch’s regulatory compliance risk profile.
  • Maintain and analyse regulatory compliance key risk profile and control data to inform and support reporting on internal regulatory controls (within Operational Risk).
  • Establish and maintain appropriate compliance/AML risk-based monitoring plans and processes that are proportionate to the Branch’s operation’s scale, nature, and complexity.
  • Manage and monitor the effective implementation of compliance-related policies, including sole responsibility for the maintenance of all registers and logs required.
  • Planning and delivery of a financial services compliance risk training program (to cover general compliance, UK AML/CFT, UK financial crime requirements) for both new and existing staff at the Branch and at the Bank as required.
  • Represent the Bank with all external agencies, e.g., regulators or law enforcement agencies, and in any other third-party inquiries related to money laundering prevention, investigation or compliance concerning the Branch.
  • Promptly respond to any reasonable request for information from the regulator and/or law enforcement agencies.
  • Responsible for preparing and submitting the required Compliance regulatory returns, notices, and reports (excluding Financial and Risk reporting) concerning the Branch to the PRA and FCA and to any other appropriate regulatory or accrediting bodies promptly.
  • Overall responsibility for the Branch’s policies and procedures for countering the risk that the Branch might be used to further financial crime.
  • Regularly review the effectiveness of money laundering compliance policies and procedures to prevent money laundering and counter the financing of terrorism.
  • Develop and maintain the Branch’s anti-money laundering and counter-terrorist financing policy in line with evolving statutory and regulatory obligations consistently with the Bank’s and wider Group’s AML policies and procedures.
  • Ensure all internal suspicious activity reports received by the Branch are investigated without delay.
  • Ensure that all relevant staff within the Branch and undertaking work for the Branch are adequately trained in UK anti-money laundering and terrorist finance prevention, that the standards and scope of the training are appropriate, and that appropriate training records are kept.
  • Act as coordination point at the Branch for Data Subject Access Requests, ensuring that they are managed within prescribed time-scales.

Knowledge, skills, and qualifications

  • Hold a relevant professional qualification (law or accounting) or proven relevant financial services industry experience.
  • Detailed working knowledge in the 2LoD in the Financial Services sector of at least 10 Years’ PQE of FCA and PRA Rules, particularly about Banking (BCOBS) and Consumer Credit (CONC), and Corporate Lending.
  • Detailed working knowledge in the 2LoD in the Financial Services sector of AML rules and associated guidance.
  • Systematic approach to work with demonstrable ability to work independently and deliver to deadlines, whilst maintaining attention to detail.
  • Excellent verbal and written communication skills.

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