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Mlro - Exclusive Instruction

3 months ago

London, Greater London, United Kingdom Compliance Professionals Full time

The Client
We have been retained by a boutique investment bank to identify a MLRO for their London based operation. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services.

The Responsibilities

  • Responsible for the effective and efficient design and execution of the firms AFC framework
  • Ensuring compliance with all applicable Anti-Money Laundering & Terrorist Financing (AML/CTF), Know Your Client (KYC), Anti-Bribery and Corruption (ABC), Sanctions laws and regulations.
  • Designated Money Laundering Reporting Officer (MLRO, Nominated Officer for the firm, SMF 17 registered holder, point of contact for the FCA, NCA and other applicable authorities.
  • Act as the Deputy Head of Compliance to support the CCO in all areas of the business.
  • Ensure effective onboarding / ongoing due diligence processes and supporting systems.
  • Provide timely and transparent reporting to management and board committees.
  • Ensure AML / CTF / Sanctions / ABC / Fraud regulations, guidance and industry best practice standards are implemented.
  • Receive and assess internal suspicion reports, and make external reports as required.
  • Establish and maintain arrangements for awareness and training of staff.
  • Establish and execute an AFC business wide risk assessment, AFC compliance monitoring.
- programme, support quality assurance with 3rd line of defence.

  • Produce an annual MLRO report to the Board of Directors and manage AFC regulatory reports.
  • Provide second line oversight and challenge to all first line AFC matters and reinforce the three lines of defence within the firm.
  • Prior experience as a registered SMF17 post holder as MLRO
  • Experience within the merchant/ wholesale/ investment banking environment.
  • Strong and proven AML Knowledge.
  • Education to degree level.
For further information please contact Marcus Courtney

Location:

London

Specialism:
Monitoring

Salary:

£Market Rate

Type:
Permanent

Reference:
18799