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Compliance Manager

A great opportunity has arisen for a driven and talented individual to join the compliance team of a reputable fund administration company as a Compliance Manager, which includes acting as Deputy CO, MLRO and MLCO .

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. To assist with a broad range of compliance and risk management duties, which focus on ensuring that the company 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 teams 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 that all monitoring is conducted in good time to allow the timely presentation of compliance reports at board meetings
  • Reviewing prospective new business providing guidance in respect of; client due diligence requirements, risk assessments and any other AML/CFT related matters
  • Ensuring that the company and its participating members have robust arrangements for compliance with the applicable rules as defined in the relevant Codes of Practice

Experience and skills required:

  • Hold a table 4 compliance professional qualification or equivalent
  • Ability to work within a team to mentor, coach and carry out on‐the‐job 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
  • Familiar 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.

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Compliance Manager
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