Compliance Officer

2 days ago

Chelmsford, United Kingdom Maitland Group Full time

**Job Advert Summary**:
The role will consist of supporting all the legal and regulatory compliance activities of the Chelmsford entities, as well as taking part in international projects and implementing global procedures on a local level.

The Compliance Officer will assist the Head of Compliance and staff members in discharging their responsibility to comply with applicable legislative and regulatory requirements through the provision of compliance services and to identify, assess, manage, monitor and report regulatory compliance risks facing the organisation.

**Minimum Requirements**:
Education
- Degree level qualification, or equivalent, ideally in Business, Finance, Law or Compliance and Risk Management;
Experience
- At least 4 years relevant work experience in Compliance

**Duties and Responsibilities**:

- Assume the role of MLRO;
- Monitor suspicious transactions and provide reporting and escalations as required;
- Consider the political exposure of potential clients and act appropriately;
- Ensure the effective implementation of the Compliance Monitoring programme and undertake all aspects of monitoring activities;
- Monitor compliance by the operating entities with applicable regulations and the efficiency and consistency of compliance controls and assist with the enhancement of procedures and controls;
- Track non-compliant findings with respective business unit function managers until resolved;
- Actively manage the mitigation of compliance breaches;
- Maintain appropriate written procedures to ensure compliance with applicable legislation, regulations and group policies, and to monitor adherence to such procedures;
- Assist in promoting a culture of compliance and risk awareness;
- Prepare training material and deliver training in compliance with regulatory obligations and business procedures;
- Prepare compliance reports to management, various committees and governance structures within the group;
- Prepare reports to regulatory authorities;
- Maintain effective relationships with regulators and industry bodies, as applicable;
- Monitor changes in relevant legal requirements and other regulatory developments which may impact on the company and advise the Directors on their implications:

- Circulate regulatory development registers to the Directors and senior management;
- Provide advice to the Directors on the regulatory implications of new business areas and new products;
- Contribute to the oversight of the administration and transfer agency delegates.
- Undertake projects such as those projects addressing new regulatory initiatives and the review of existing policies;
- Assume the role of Data Specialist and provide guidance on Maitland’s data privacy programme;
- Actively manage the mitigation of data breaches in accordance with Maitland’s data breach process.

**Skills and Competencies**:
**Skills**:

- Strong working knowledge of the UK Funds Industry regulatory framework;
- Well organized with the ability to work autonomously and deal with busy workload;
- Self-motivated, mature and able to use initiative with a strong hands-on approach;
- A discreet and confidential manner with confidence, persuasiveness and the ability to motivate colleagues;
- Good clear and concise written and verbal skills;
- The ability to communicate with staff at all levels of the business.

Learning and development:

- Personal development plan will be agreed on an annual basis;
- Self learning;
- Attendance to internal training including webinars, workshops and workgroups as may be required;
Attendance at external seminars and training events as may be required.

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