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Jobs Details

Compliance Officer & MLRO

Work Type:
Our Client is looking to recruit a Compliance Officer AND MLRO

Job Purpose and Main duties:
• Reporting to the Board and Group Compliance Director, key responsibilities include the delivery of the firm’s compliance program in line with the jurisdiction’s current laws and legislation
• The maintenance of the firm’s suite of compliance procedures so as to capture all regulatory requirements including the roll out and delivery of comprehensive ongoing training to all members of staff. Continuous review of all related laws and regulations to ensure the business is operating within the required scope and guidelines.

• Formulation of a detailed compliance monitoring programme to ensure adherence to said procedures and that all working practices comply with best practice and suitability requirements. Responsibilities include the capture and reporting of all findings to the board along with the appropriate recommendation of all remedial actions.

• Responsible for all mandatory reporting to the regulator, main requirements include SICR, Financial Crime Report, Annual MLRO Report and R109 Compliance reporting. Main business interface with the regulators and auditors for all regulatory related issues so as to ensure transparency and clear insight into all the firm’s operations.

• Continual evaluation of the businesses activities to assess associated compliance risk and that operations fall in line with designated risk appetites and that unplanned exposure is mitigated and managed. Responsible for the management of the firm’s risk policies and the update of all risk assessment tools.

• Assist in the formulation of the firm’s business plans, mission statements and key objectives. Roles also include the formulation of staff personal development plans in line with the businesses and regulatory objectives.

• Control of all GDPR policies and act as point of contact for all related internal and external issues.

Please get in contact now for full details
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