Client Compliance Officer, Mlro

2 weeks ago

St Helier, United Kingdom LRI Invest S.A. Full time

Location: St. Helier, Jersey
Date Posted: Feb 27, 2023

**Description**

We’re looking for a Client Compliance Officer, MLRO & MLCO to join our growing Client Compliance team.

You’ll act as the nominated Compliance Officer, Money Laundering Compliance Officer and the Money Laundering Reporting Officer for the Managed Entities and Jersey funds to which Apex provides services to.

You’ll have direct access to the boards of the relevant registered persons and unfettered access to all business lines, support departments and necessary information.

**The Role & Key Responsibilities**:
Compliance Officer
- Ensuring appropriate monitoring of operational performance and managing regulatory and compliance issues;
- Ensuring that monitoring of internal policies and procedures are being consistently and effectively adhered to;
- Assessing, and recommending amendments to, internal systems and controls as well as policies and procedures to facilitate compliance with the regulatory framework;
- Where appropriate, promptly instigating action to remedy any deficiencies in the compliance arrangements;
- Act as the principal point of contact for employees on day to day regulatory matters where applicable;
- Act as the principal point of contact with the Commission on day-to-day regulatory matters; and
- Providing senior management and the board of directors of the relevant registered persons with regular written reports in respect of the registered person’s compliance with the requirements of the relevant laws, orders and codes of practice.

Money Laundering Compliance Officer
- Monitoring compliance of the relevant registered person’s compliance with legislation in Jersey relating to money laundering and financing of terrorism and the AML / CFT Codes of Practice issued under the Supervisory Bodies Law;
- Ensuring that there are adequate procedures for monitoring compliance with, and testing the effectiveness of policies and procedures;
- Ensuring that there are adequate procedures for monitoring and testing the effectiveness of measures to raise awareness and training;
- Monitoring whether the enactments in Jersey relating to Money Laundering and the Financing of Terrorism and AML / CFT Codes of Practice are being complied with;
- Monitoring and testing compliance with systems and controls (including policies and procedures) in place to prevent and detect money laundering and financing of terrorism; and
- Reporting periodically as appropriate to the board on compliance with the relevant persons systems and controls (including policies and procedures) and issues that need to be brought to its attention.

Money Laundering Reporting Officer
- Receive and consider internal SARs in accordance with internal reporting procedures;
- Make timely disclosures to the Joint Financial Crimes Unit where necessary;
- Maintain a record of all requests for information from law enforcement authorities and records relating to all internal and external SARS;
- Manage relationships effectively post any disclosure to avoid tipping off;
- Acts as the liaison point with the Commission and the JFCU and in any other external enquiries in relation to money laundering or financing of terrorism;
- Maintain a Register of Suspicious Activity Reports;
- Where a deputy MLRO is appointed, keep a record of all deputy MLRO’s; and
- Provide support to, and routinely monitor the performance of each deputy MLRO and consider and determine that any SARS are being handled in an appropriate and consistent manner by reviewing samples of records containing SARS and supporting documentation and reviewing the decisions and basis for decisions taken in deciding whether to make an external SAR.

Other Responsibilities:

- Manage the team’s workload in order to ensure that the Client Compliance Function is effective;
- Contribute to the development of other members of the Client Compliance Team;
- Maintain appropriate independence, in particular from customer-facing, business development and system and control development roles;
- Ensure that the required level of CPD is undertaken each year; and
- Assist with other duties to support the Chief Compliance Officer as may be necessary from time to time.

**Skills Required**:

- You’ll have substantial finance sector experience and excellent understanding of performing Compliance / AML/CFT roles within a regulated financial services business;
- You will hold, or be studying towards, a relevant compliance professional qualification; and
- Have excellent communication, interpersonal and leadership skills. You’ll need to be self-motivated and capable of prioritising workloads as required.

**What you will get in return**:

- A genuinely unique opportunity to be part of an expanding large global business.
- Exposure to all aspects of the business, cross-jurisdiction and to working with senior management directly.

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