Compliance Manager

Job Description

Compliance Manager - London- £80,000- £90,000Our client based in Central London is a structured asset-based and cash flow finance to businesses, with facilities ranging from £5 to £150 million. The transactions are sourced from a wide range of introducers including private equity sponsors, debt advisors, accountants, lawyers and restructuring professionals. The purpose of the role is to work within the Risk & Compliance Team and manage compliance-related activity, including being the owner of all related policies and procedures. The Compliance Manager will also act as a Money Laundering Reporting Officer ("MLRO") and Data Protection Officer ("DPO"). Our client is not a regulated entity, and as such the MLRO does not require regulatory approval.Initial Responsibilities: • Complete, and formally document, the required risk assessments and review existing systems and controls.• Write and / or update policies and procedures in relation to Financial Crime prevention, Data Protection and other compliance related matters including:o Anti-Money Laundering, Counter-Terrorist Financing and Sanctions (collectively Financial Crime) o Data Protection and GDPR o Anti-Bribery and Corruption o Fraud • Implement the required monitoring, processes, documentation and registers. • Devise a training plan to raise awareness of the related topics. • Review existing customer files and make appropriate recommendations.Ongoing Responsibilities, in relation to Financial Crime: • Develop and maintain the policy in line with evolving statutory and regulatory obligations.• Develop internal procedures using the current Joint Money Laundering Steering Group Guidance Notes. • Ensure that staff are educated in their regulatory/legal obligations, and that staff are adequately trained in all aspects of Financial Crime.• Review and approve Customer Due Diligence ("CDD") and Enhanced Due Diligence documents as presented by the Sales and Operations teams. Act as a point of internal advice and assistance in relation to onboarding and ongoing monitoring.• Undertake the internal review of all Suspicious Activity Reports ("SARs") and determine if such suspicions have merit and require disclosure to the National Crime Agency.• Should the requirement arise, represent to all law enforcement and regulatory agencies and in any other third-party enquiries in relation to Financial Crime prevention, investigation or compliance.• Maintain detailed records and the required registers (Politically Exposed People, Insider List etc) and documents.• Complete an annual risk assessment of Financial Crime risks and the related controls.• Prepare Financial Crime reports to the board biannually.Ongoing Responsibilities in relation to Data Protection: • Develop and maintain the policy in line with company obligations. • Develop and maintain internal procedures. • Raise awareness of data protection and ensure staff are regularly and adequately trained. • Oversee and provide advice with regards to data protection impact assessments. • Maintain the required documentation, Data Inventory, Record of Processing, balancing statements etc. • If required, manage any Data Breaches and Data Subject Access Requests ("DSARs"). • Report to the Risk Director as agreed.Our client is offering a competitive salary as well as some great incentives, Please get in touch if you wish to know more Required skills

Compliance

Money Laundering

Data Protection Manager

Keyskills :
Compliance Money Laundering Data Protection Manager