AML Compliance Specialist

3 weeks ago

Hatching Green, United Kingdom Recruit Wealth Ltd Full time

Recruit Wealth Ltd is seeking a highly skilled Compliance Officer to join their team in Hertfordshire. The successful candidate will be responsible for overseeing compliance, T&C, and AML, while working closely with the senior leadership team.

Key Responsibilities:

  1. Ensure the firm's compliance with the Financial Services and Markets Act 2000, the FCA's Conduct rules, and Statements of Principle & Code of Practice.
  2. Stay up-to-date with relevant regulatory, product, legislative, and technical requirements.
  3. Implement and review systems and controls to cover all areas of the firm's business activities.
  4. Maintain accurate and detailed compliance records.
  5. Report to the leadership team on a monthly basis on compliance issues.
  6. Identify and report significant compliance risks to the management body.
  7. Ensure the quality of advice is maintained and monitored through pre-sale and post-sale checks.
  8. Review and sign-off financial promotions.

Training and Competency:

  1. Assess adviser conduct metrics against predefined KPIs.
  2. Monitor and adapt the company's T&C scheme to changing regulatory requirements.
  3. Ensure all staff have completed relevant annual testing and conduct fit and proper assessments.
  4. Arrange training for regulatory changes.

AML and Data Protection:

  1. Assist the SMF17 in maintaining up-to-date financial crime and anti-money laundering procedures.
  2. Ensure all staff are aware of and trained on anti-money laundering and financial crime procedures.
  3. Assist the SMF17 in implementing adequate data security policies and procedures.

This is an excellent opportunity for a Compliance professional to join a reputable company in the Financial Planning sector. The ideal candidate will have a strong background in Financial Services compliance and experience in Wealth Management.

The company offers a competitive salary, benefits, company bonus, and hybrid working arrangements. The successful candidate will be part of a collaborative and professional working culture.

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