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Chief Operating Officer

Recruit Wealth
Job LocationLondon
EducationNot Mentioned
Salary£95,000 - £130,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

Recruit Wealth are delighted to be representing a national Financial Services and Wealth Management brand who are now looking to recruit their new Chief Operating Officer.The business is currently going through an exciting growth period, which has been well documented in various press publications within the industry. They are a prominent, respected and well known name in the Financial Planning, Wealth Management and Investment Management space.Please see below for the outline and criteria of the role. We are looking to speak to individuals who not only have the experiences required but also have exposure from a Financial Services background. Main ObjectivesResponsible for the daily operation of the company with a focus on Compliance and IT.Managing the regulatory and compliance risks of the firm.Holder of the CF10, Money Laundering and Reporting Officer and Data Protection Officer roles.Provider of extensive suite of management information and reporting.CF10 role holderWith the responsibility of oversight of the firm’s compliance and the obligation to report to the Board in respect of that responsibility.MLRO (CF11)

  • To receive and consider internal disclosures of suspected money laundering or terrorist financing
  • Decide whether there are sufficient grounds for suspicion to pass the disclosures to SOCA
  • File a Suspicious Activity Report (SAR) with SOCA where the grounds for suspicion are sufficient
  • Liaise with SOCA to deal with such matters as consent to proceed with a transaction and other disclosure issues, particularly with regards to clients or third parties
  • Make independent reporting decisions impacting on the firms client relationships
  • The designing and setting-up of internal anti-money laundering procedures and policies including customer due diligence measures, reporting, record-keeping, risk assessment, management and control systems
  • Organising and arranging anti-money laundering training of the firms staff.
  • Advising and guarding against tipping-off or prejudicing an investigation once a SAR has been made.
    • Responsible for money laundering reporting and compliance oversight duties under SMF3, SMF16 and SMF17 of SMCR which includes:
  • Responsibility for the Company’s performance of its obligations under the senior managers regime
  • Responsibility for the Company’s performance of its obligations under the employee certificate regime
  • Responsibility for the Company’s policies and procedures for countering the risk that the firm might be used to further financial crime
  • Responsibility for the Company’s obligations for conduct rules and training and conduct rules reporting
  • Responsibility for the Company’s compliance with CASS
    • Additional responsibilities under SMCR:
  • Financial promotions and client communications
  • Complaints handling
  • Notifications
  • Risk assessment and risk management
  • Management information
  • Record keeping
  • Business continuity
  • Insurance distribution
  • Mortgage Credit Directive intermediation
  • Consumer credit activities
  • Responsibility for significant business projects
  • Responsibility for contracts (non-employee)
  • Information technology
  • Investment and produce research
  • Product governance
  • Data protection
  • Professional indemnity insurance
  • Regulatory reporting
  • DB transfer business
    • Please note: The business is ideally looking for you to be in a good location to their London offices. However, due to the pandemic, home working will be offered indefinitely with the view to be visible for senior board meetings in various locations when appropriate.Naturally, this is senior post for our client and of great importance to the business. We are wanting to speak to the right individuals as soon as possible as the business will be ready to appoint in January 2021 and beyond subject to a notice period. Required skills
  • Due Diligence
  • Money Laundering
  • SAR
  • Oversight
  • Soca

    • Keyskills :
    Due Diligence Money Laundering SAR Oversight Soca

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