Compliance MLRO / MLCO
Join an innovative investment management business where you will be part of a world class leadership environment and have access to complex and intellectually stimulating work.
As Compliance Manager you will play a key role in encouraging a compliance culture throughout the business at all levels, to promote compliance as a positive contribution to the success of the organisation.
This is a key person role, you will be appointed Money Laundering Reporting Officer and Money Laundering Compliance Officer and carry out the respective duties, providing exceptional service to both group and external clients in line with the global service strategy.
Responsibilities will include:
- Ensuring that the risk framework and risk-based compliance monitoring programme are in place and regularly updated in response to regulatory changes and/or issues identified
- Providing a proactive advisory service to the Boards of Directors, other relevant governance bodies, management and staff in relation to regulatory and ethical matters
- Ensuring compliance reviews are undertaken across the businesses at appropriate frequencies to assess compliance with regulatory rules and internal compliance standards
- Involvement in the design and structuring of new products, systems and respective communications so that they conform to regulatory requirements and ethical standards
- Providing timely reports to the Board of Directors, the audit committee and management, highlighting serious or persistent compliance problems and client complaints, and where appropriate, working with management to ensure that shortcomings are rectified within an acceptable timeframe
- Reviewing literature and marketing communications, ensuring they meet regulatory and internal standards
Experience and skills required:
- High standard of general education
- Hold an appropriate professional qualification and have knowledge and experience of investment and fund services business
- Ability to maintain a high degree of confidentiality at all times
- Ability to work quickly and accurately under pressure with an eye for detail
- Good interpersonal skills and the ability to apply them at all levels of seniority
- An adaptable and flexible approach to dealing with changing business demands
If you’d like to find out more information about this opportunity, please call us on 01534 626777 or email email@example.com
We are an equal opportunity employer and value diversity at all times.
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