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Head of Compliance and MLRO SMF 16 and17

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

My client is an established Investment Manager that partners with wealth managers, financial advisors, and trustees to provide comprehensive investment solutions. This is a small but highly profitable business.Description

  1. Develop and implement a robust compliance framework, policies, and procedures in accordance with relevant regulatory requirements, industry best practices, and internal guidelines.
  2. Oversee the day-to-day compliance operations, including monitoring, surveillance, and reporting on compliance risks, incidents, and breaches.
  3. Serve as the Money Laundering Reporting Officer (MLRO), ensuring effective implementation of anti-money laundering and counter-terrorism financing (AML/CTF) measures.
  4. Conduct regular risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses.
  5. Stay up-to-date with regulatory developments, industry trends, and emerging risks to ensure timely implementation of necessary changes and enhancements to the compliance program.
  6. Provide expert advice and guidance on compliance-related matters to internal stakeholders, including wealth managers, financial advisors, and trustees.
  7. Collaborate with various internal departments, such as legal, operations, risk management, and IT, to ensure compliance considerations are integrated into business processes, products, and services.
  8. Develop and deliver compliance training programs to enhance staff awareness and understanding of compliance obligations.
  9. Establish and maintain effective relationships with external regulatory bodies, industry associations, and other relevant stakeholders.
Profile
  1. Bachelors degree in finance, business administration, law, or a related field. A
  2. A minimum of 5 years of experience in a similar role within the investment management industry
  3. Strong knowledge of relevant laws, regulations, and industry best practices related to compliance, AML/CTF, and financial services.
  4. Experience as an MLRO or in AML/CTF compliance is essential.
  5. Demonstrated experience in developing and implementing compliance programs, policies, and procedures.
  6. Excellent understanding of investment management processes and products, including working with wealth managers, financial advisors, and trustees.
  7. Strong analytical and problem-solving skills with the ability to assess complex situations and make sound decisions.
  8. Exceptional communication and interpersonal skills, with the ability to effectively collaborate with stakeholders at all levels.
  9. Ability and experience working in a stand alone role
Job Offercompetitive package, stand alone SMF role, hybrid working

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