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Posted about 1 month ago

Work alongside the Head of Risk and Compliance in a specialist private client administration and corporate services business, ensuring the firm meets its legal and regulatory obligations.

Using your strong technical legal and regulatory knowledge gained from previous compliance roles, you will provide risk and compliance support, including overseeing the compliance framework. You will also provide guidance to the business and conduct reviews and act as MLRO, MLCO and Compliance Officer.

Joining a stable and nurturing environment, you can expect to build on your existing talents and achieve excellence in the work you do within a thriving business keen to attract skilled and motivated individuals.

Responsibilities will include:

  • ​Overseeing the compliance monitoring plan, ensuring monitoring is completed and identifying improvements 

  • Managing the risk assessment and risk register

  • Reviewing daily screening and sanction updates 

  • Conducting new business reviews, client file reviews and due diligence reviews 

  • Assisting with the preparation for regulatory inspections

  • Drafting policies and procedures and updating training materials

Experience and skills required:

  • ​Minimum 5 years’ compliance experience, ideally within a funds environment  

  • Strong technical legal and regulatory knowledge 

  • ICA qualified (or equivalent)

  • Excellent project management skills 

  • Ability to manage priorities and carry out tasks with discretion 

If you’d like to find out more information about this opportunity, please call us on 01534 626777 or email jobs@rowlands.co.uk

We are an equal opportunity employer and value diversity at all times.