Head of Compliance and MLRO

3 days ago

London, Greater London, United Kingdom Wintermann Search & Selection Limited Full time
Job Title: Head of Compliance and MLRO

We are seeking an experienced Head of Compliance and MLRO to join our team at Wintermann Search & Selection Limited. As a key member of our organization, you will be responsible for ensuring that our bank operates in a compliant manner, adhering to all relevant regulatory requirements.

Key Responsibilities:
  • Develop and implement a comprehensive compliance framework to ensure the bank's operations are in line with regulatory requirements.
  • Lead the management of compliance across the bank's operations, implementing policies to meet regulatory requirements and enabling the business to respond to regulatory and legislative changes.
  • Hold and execute the requirements of the SMF 16 (Compliance Oversight Function) and SMF 17 (Money Laundering Reporting Function).
  • Conduct an annual risk assessment of the bank and map mitigating controls.
  • Oversight of First Line of Defense (1LoD) procedures and monitoring programmes to ensure that unusual transactions are identified and analyzed.
  • Receive and assess all internal Suspicious Activity Reports (SARs) with onward reporting to the National Crime Agency (NCA) when required.
  • Be the bank's point of contact with NCA and other regulatory, law enforcement, and investigatory agencies on AML matters.
  • Respond to Production and other Court Orders and prepare evidence as appropriate.
  • Ensure compliance with AML staff training obligations, including ensuring that all relevant staff receive effective training appropriate to their needs.
  • The MLRO is responsible for overseeing the sanctions and transaction monitoring regime within the bank, including its screening tools.
  • The MLRO will assist with the transition of any 1LoD responsibilities from 2LoD to the First Line.
  • Develop and implement the Compliance Framework/Strategy for the bank to meet the regulatory requirements.
  • Ensure that the bank consistently and effectively operates within all relevant regulatory and statutory requirements at all times.
  • Ensure that the bank abides by the Banking: Conduct of Business Sourcebook.
  • Ensure that the bank abides by the UK Corporate Governance Code to the extent agreed by the Board.
  • Advise senior management and staff on changes in the rules and regulations and compliance standards, including keeping them informed about potential developments in this area.
  • Keep senior management and/or related departments notified as to applicable regulatory returns to be completed and timeframes for submission to the FCA/PRA/other Regulators.
  • Maintain and oversee record keeping, e.g. Gifts, Complaints Register, FCA/PRA registrations, SMR certification, and approvals.
  • Maintain market and customer/consumer confidence in the bank and ensure that the bank's Complaints Procedures are correctly followed and reports made to the FCA as appropriate.
  • Monitor and record the bank's compliance with the legal and regulatory requirements, including compliance rules and standards, as well as the bank's compliance procedures, through the establishment and implementation of a risk-based compliance monitoring plan.
  • Liaise with the regulators as necessary and handle any regulatory queries in an open and cooperative way.
  • Ensure that the bank is in compliance with legislation relevant to the bank's activities.
  • Management of the Financial Crime and Compliance function.
  • Prepare and present the MLRO annual report.
  • Be an active member of the Executive Risk Committee.
Requirements:
  • Professional qualifications, e.g. ICA Diploma in Governance, Risk & Compliance or equivalent.
  • Minimum 10 years of experience in areas of compliance and holding SMF16 or having a strong regulatory compliance background and experience and looking to step up to an approved person role and experience in areas of anti-money laundering and financial crime prevention.
  • Minimum 10 years of experience in Financial Services.
  • Strong understanding of relevant UK regulatory requirements.
  • Detailed understanding of financial services compliance.

We are looking for a highly skilled and experienced professional to join our team. If you are passionate about compliance and regulatory affairs, we encourage you to apply for this exciting opportunity.

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