AML Compliance Specialist

4 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 complies with the Financial Services and Markets Act 2000, the FCA's Conduct rules, and Statements of Principle & Code of Practice at all times.
  2. Stay up-to-date with relevant regulatory, product, legislative, and technical requirements.
  3. Implement and review appropriate systems and controls covering all areas of the firm's business activities.
  4. Maintain accurate, detailed, and up-to-date compliance records across all areas of the firm's business activities.
  5. Report to the firm's Leadership team on a monthly basis on all relevant compliance issues.
  6. Report, on an ad-hoc basis, to the management body where significant compliance risks are identified.
  7. Ensure the quality of advice is maintained and monitored via pre-sale checks of a selection of advice files and post-sale checks.
  8. Review and sign-off financial promotions.
Training and Competency:
  1. Assess adviser conduct metrics against a pre-defined set of KPIs.
  2. Monitor and adapt the company T&C scheme to changing regulatory requirements.
  3. Ensure all staff have and passed the relevant annual testing and carry out fit and proper assessments.
  4. Arrange training for regulatory changes.
AML and Data Protection:
  1. Assist the SMF17 to ensure the firm's financial crime and anti-money laundering procedures are kept up-to-date at all times and staff are notified of any changes.
  2. Ensure all staff are aware of and appropriately trained on the firm's anti-money laundering and financial crime procedures.
  3. Assist the SMF17 to ensure the firm has adequate data security policies and procedures in place and that these are implemented properly.

This is a fantastic 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 compliance.

The company offers an excellent working culture, hybrid working arrangements, and a competitive salary and benefits package.

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