Back to Job Search

Posted about 1 month ago

A reputable fund administration company is currently seeking a driven and talented individual to join their dedicated and professional compliance team.

The main areas of responsibility for your role as Compliance Manager will be to provide detailed and timely advice and reports for the company and their clients, whilst assisting with a broad range of compliance and risk management duties, focusing on ensuring that the company’s regulatory obligations and risk management objectives are fulfilled.

Responsibilities will include:

  • Acting as Deputy CO, MLRO and MLCO for managed entities as assigned to you for which the company has been appointed the Manager of Managed Entity and certified funds

  • Managing the team’s completion of the testing detailed within the Compliance Monitoring Plans (CMP) for managed entities and certified funds

  • Overseeing the production of quarterly compliance reports for managed entities and certified funds, ensuring all monitoring is conducted in good time to allow the timely presentation of compliance reports at board meetings

  • Reviewing prospective new business and providing guidance in respect of; client due diligence requirements, risk assessments and any other AML/CFT related matters

  • Ensuring the company and its participating members have robust arrangements for compliance with the Applicable Rules as defined in the relevant Codes of Practice

  • Managing the workload of the team and supervising, coaching and mentoring junior staff

Experience and skills required:

  • To hold a relevant table 4 compliance professional qualification or equivalent

  • Previous experience managing a team and the ability to mentor, coach and carry out onthejob training with more junior staff

  • Ideally 5 or more years of demonstrable experience within the financial services industry with a detailed understanding of the Trust Company and Fund Services Business compliance environment

  • Familiarity with statutory and regulatory requirements relating to fund and trust company businesses

  • Ability to write reports, business correspondence, policy documents and procedure manuals

  • Ability to effectively present information and respond to questions from groups of Managers, Directors and clients

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.