We are working with an international Wealth Management Firm who are searching for a Compliance Manager to join the team. The firm has offices across the globe and assists UHNI and Family offices to manage their wealth.
THE RESPONSIBILITIES:
Perform independent review of High-Risk client onboardings and periodic reviews submitted by the first line-of-defence;
Support the MLRO in performing investigations, preparing reports and making recommendations on suspicious activities (SAR filings);
Provide financial crime-related expertise and advice to internal stakeholders;
Implement compliance controls in accordance with the Financial Crime Compliance Monitoring Plan;
Maintain knowledge and awareness of key regulatory changes related to Financial Crime Compliance matters impacting the business, including review of relevant local consultation papers, discussion papers, guidance, policy statements, thematic reviews, and enforcement cases. This includes identifying and assessing compliance risks and impact arising from new projects, products/services or UK regulatory requirements;
Update and implement FCC-related Policies and Procedures in accordance with local requirements and Group standards, policies and procedures; and
Provide guidance on sanctions related matters, in conjunction with relevant Sanction stakeholders in the firm.
Organize training for internal stakeholders to maintain a high level of AML/CFT risk awareness;
Assist with internal and external audits, as well as requests from regulators or any competent authorities;
Draft Business Wide Risk Assessment of the Company
