Compliance Officer & MLRO

THE COMPANY:

We have been instructed by an FCA regulated, independent asset management company based in London in their search for an SMF16 & SMF17.

THE RESPONSIBILITIES:

• Stand-alone role, ensuring the business adheres to legal standards, industry regulations, and internal policies to mitigate risk and prevent illegal activity.
• Key duties include developing compliance policies, training staff, mitigating/ investigating violations, conducting audits and acting as a liaison between management and regulatory bodies.
• The MLRO is also a senior, designated managerial role responsible for overseeing the firm’s anti-money laundering (AML) systems, policies, and procedures to ensure regulatory compliance, being the focal point for receiving internal, suspicious activity reports (SARs) and, upon investigation, decide whether to report them to the
• relevant authority.
• The role in this growing firm has dual reporting, locally to the COO, and to the firm’s CEO.
• The business has three Introducer Appointed Representatives, and managing oversight of their activities will form a core element of the role.

EXPERIENCE REQUIRED:

• Candidates will ideally work 5 days onsite in London
• Knowledge/Understanding & Experience of: AML responsibilities, S.A.R. processes, Supervision/oversight of compliance administration, KYC (SoW & SoF) documentation
• Experience of implementation of compliance procedures
• Compliance projects, Data Protection, Breaches, Error Control
• Transaction Reporting
• Offshore asset management
• Guardian Order Management system, an advantage.

For further information please contact Duncan Jeffery