Compliance Officer

2 weeks ago

Chelmsford, United Kingdom Elliott James Consulting Full time

Our client is a well-regarded global fund services provider. A position has arisen in their Essex offices for an experienced Compliance Officer to join their growing team.

The Compliance Officer will be expected to:

- 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 data privacy programme;
- Actively manage the mitigation of data breaches

Skills and experience required

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;

**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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