Head of Compliance

4 weeks ago

Liverpool, United Kingdom Rev & Regs Full time

Rev & Regs are recruiting for a Head of Compliance & MLRO (SM16/17) position working for a large multinational Asset Management company. This is a remote role with travel to Leeds office once a week.


Responsibilities:


  • To act as SM16 and SMF17.
  • Ensure the timely and comprehensive analysis of regulatory and financial crime developments and the maintenance of appropriate internal policies and procedures. Ensure any Group Policies have appropriate addendums to discharge local requirements.
  • Provide timely and appropriate reports to governance bodies on compliance and financial crime matters.
  • Provide expert or key strategic advice to the board where required.
  • Represent the business at a senior level.
  • Provide timely, clear and effective guidance and support to the business and other stakeholders.
  • Effectively question and challenge to gain a comprehensive understanding of issues / risks to be able to determine when expert / external advice is required or when direct action is required.
  • Effective monitoring and oversight of risk frameworks relating to Compliance and financial crime ensuring these are embedded.
  • The role holder has the Prescribed Responsibility for the firms’ policies and procedures for countering the risk that the firms might be used to further financial crime, including acting as MLRO and having responsibility within the firms for the establishment and maintenance of effective anti-money laundering systems and controls and for countering the risk that the firms might be used to further financial crime.
  • To ensure that the firms’ systems and controls are sufficiently robust to prevent the firms being used to further financial crime including operate procedures and controls which meet the requirements of the Money Laundering Regulations 2017.
  • Ensure that each of the foregoing are appropriately designed to ensure that the business can be seen to operate effective systems and controls, thereby demonstrating compliance with SYSC.


Experience:


  • Must have held SMF16 & SMF17.
  • Experience as a Head of Compliance & MLRO working for an Asset Manager.
  • Prior experience within Transfer Agency would be an advantage.
  • A superior networker, negotiator, and business leader.
  • Knowledge and experience within a regulatory and financial crime environment, including a sound understanding of the Senior Managers and Certification Regime.
  • Significant experience of leading teams and providing strategic direction.
  • Strong understanding of AML KYC requirements and good practice.
  • Strong understanding of Fraud Prevention.
  • Deep understanding and working knowledge of financial regulations.
  • Proven track record in managing a large department or function.
  • Personal commitment to and visible role modelling of the organisation's behaviours and values. This will include in depth experience in the development and embedding of a strong culture, one which adheres to FCA conduct rules and embeds positive behaviours & values.


Location: Remote (travel to Leeds office 2 days per week)

Salary: £140,000 plus bonus

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