Head of Compliance and Mlro

2 weeks ago

London, United Kingdom eFinancialCareers Full time

Recent and relevant experience as a Compliance Officer or Head of Compliance
- Previous SMF16/SMF17 function holder (desirable)
- Clear understanding of UK (preferably European) laws and regulation in relation to AML, regulatory compliance, and risk
- ICA Diploma in Compliance or CISI International Diploma in Investment Compliance (ideal)
- Developing and maintaining strong relationships with all relevant stakeholders
- A broad base of compliance knowledge
- Be numerate, articulate, and analytical
- Strong attention to detail and highly organised

Primary Responsibilities:

- SMF16 Compliance Oversight including relevant prescribed responsibilities
- Develop regular monitoring procedures and practices to assess the adequacy and effectiveness of the firm’s systems and controls
- Maintaining and processing all necessary documentation required by the firm in accordance with FCA requirements and any other applicable regulations.
- Work with operational areas to develop proportionate risk-based policies and procedures designed to minimise the risk of breaches of legal and regulatory requirements.
- Regulatory horizon monitoring highlighting emerging risks, and potential areas of non compliance, providing advice on appropriate mitigating actions.
- Lead, promote, and manage the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting) functions in an effective and prudent manner in accordance with company policies.
- Ensure the company complies with its FCA regulatory obligations and reporting requirements.
- Responsible for the approval of onboarding appointed representatives and ongoing supervision
- Present a robust case in the face of regulatory challenge, when necessary.
- Design and delivery of compliance training programmes for appropriate staff
- Identify potential areas of compliance vulnerability and risk,
- Develop and implement corrective action plans for the company of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future
- Receive and evaluate reports of suspicious activity from any employee in the firm
- Oversee implementation of anti-money laundering (“AML”) and countering terrorist financing (“CTF”) policies and procedures.
- Monitor the day-to-day operation of the firm’s AML/CTF policies and procedures
- Responding to requests for information from the FCA and other regulators and law enforcement agencies.
- Conduct an annual money laundering risk assessment in relation to the firm’s business.

For more information about the Head of Compliance role, please get in touch or submit your CV for consideration.

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