Head of Compliance

• 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 Business.
• Providing AML updates across the Business.
• Data cleansing and minimisation.
• Handling Subject Access Requests including liaising with staff as appropriate and production of material.

• An industry standard compliance related professional qualification
• Thorough knowledge of the TSCP industry
• Minimum of 2 years in a senior level compliance-based role.

Your specialist: Sally Fenton

Quote job ref: 15834

Hi, I'm Sally and this is one of the job roles I am looking after for this super business. If this job is of interest for you, please submit your CV and we will come back to you to arrange the next staging.

Submit Your CV