Compliance Officer
1 month ago
Some of your duties will include:
- Maintain and implement a robust compliance framework, policies, and procedures in accordance with relevant regulatory requirements, industry best practices, and internal guidelines.
- Assist with the day-to-day compliance operations, including monitoring, surveillance, and reporting on compliance risks, incidents, and breaches.
- Assist the Money Laundering Reporting Officer (MLRO), ensuring effective implementation of anti-money laundering and counter-terrorism financing (AML/CTF) measures.
- Assist with the conduct of risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses.
- Stay up-to-date with regulatory developments, industry trends, and emerging risks to ensure timely implementation of necessary changes and enhancements to the compliance program.
- Provide wider team with advice and guidance on compliance-related matters.
- Collaborate with various internal departments, such as legal, operations, risk management, and IT, to ensure compliance considerations are integrated into business processes, products, and services.
- Establish and maintain effective relationships with external regulatory bodies, industry associations, and other relevant stakeholders.
- Ensure that client files are maintained in accordance with Company policies, take compliance ownership of the accounts and lead/run file reviews for all accounts alongside the Company’s compliance department;
- Review sales and marketing documentation to ensure it is line with financial promotion rules;
- Assist with the review the onboarding of all new clients;
- To work as part of a team to deliver the highest level of service;
- Take ownership and show initiative for your own development;
- Comply with all lawful decisions and directions of the Management Team and the Board; and
- Ensure that you conduct your affairs with fidelity and with the highest standards of ethics and integrity.
- Extensive experience in a senior compliance role within an FCA-regulated environment, ideally in the wealth management and investment management sectors.
- Thorough understanding of AML, KYC, and financial regulatory frameworks.
- Demonstrated leadership skills with the ability to steer and develop a high-performing team.
- Excellent analytical, organisational, and communication skills.
- Proficiency in compliance software and technology platforms.
- The successful candidate will be degree educated and must have gained a minimum of seven years of investment management FCA compliance experience, with a good knowledge of relevant UK and EU rules and regulations (including (MIFID, UCITS, AIFMD). Previous MLRO experience is useful but more important is good product knowledge (Equities, FI & FX) as well as a “sleeves rolled up approach”, willing to learn new material, taking responsibility and getting involved in the details of compliance issues
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