Our client seeks a Head of Compliance / MLRO / DPO to join their team.
- Monitoring of compliance with the Rulebook and any other applicable requirements.
- Writing quarterly monitoring reports for the board and provision of other compliance reporting information.
- Writing quarterly MLRO board reports.
- Writing and maintaining Manuals and Procedures as they relate to Compliance, AML and Data Protection.
- Writing and preparation of the AML/CFT Risk Assessment.
- Implementation of procedural changes as a result of regulatory change, whether this be updating the procedures involved or training.
- Dealing with problem cases, which may include AML issues, complaints and conflicts.
- Liaising with Directors on MLRO matters.
- Maintaining registers to ensure compliance with FSA regulations.
- Investigation of internal STRs and writing external STRs as required, as MLRO.
- Completing annual reporting to the FSA as required.
- Participating in Management meetings and Regulatory Admin meetings as required.
- Risk reviews and client onboarding including the approval of due diligence and client checks.
- Advising client facing staff on regulatory issues.
- Arranging AML training and testing across the Group.
- Providing AML updates across the Group.
- Arranging training for all staff.
- Ensuring that Viewpoint (CRM) is updated and maintained from a compliance perspective.
- Data cleansing and minimisation.
- Handling Subject Access Requests including liaising with staff as appropriate and production of material.
Key Skills and Experience:
- Degree educated preferably with an ICA qualification or be working towards
- Two years at a management level
- Good inter-personal skills
- Willing to develop a small team
Your specialist: Anne Murray
Quote job ref: 12564
Hi, I'm your specialist Anne and I can't wait to hear from you about this job. You can simply submit your CV or call me on 678144 with any questions.