Compliance Officer & MLRO

THE COMPANY:

Our client is an international corporate bank based in the City.  They are looking to hire a Compliance Officer & MLRO within the London branch.

THE RESPONSIBILITIES:

• Monitor rules and guidance issued by the PRA, FCA and other regulators
• Maintain and develop branch compliance-related policies and procedures.
• Relationships with regulators
• Act as the contact point for the local regulators.
• Regulatory returns
• Responsible for submitting periodic non-financial compliance reports
• Prepare and submit relevant statutory information to Companies House
• Prepare annual reports on behalf of the branch
• Prepare reports to Head Office
• Senior Managers Regime, approved & notified persons
• Co-ordinate reviews of certified staff/material risk taker population
• Co-ordinate fitness & propriety exercises and recordkeeping
• Plan, implement & oversee provision of compliance related training
• Develop and implement a risk based compliance monitoring programme
• Maintain and up-date the Anti-Money Laundering Manual.
• Carry out due diligence and transaction monitoring.
• Maintain and update the money laundering risk framework
• Ensure compliance with sanctions notices
• Maintain and develop financial crime policies and procedures
• Maintain personal account dealing, complaints and conflicts records
• Data protection matters

EXPERIENCE REQUIRED:

• Relevant compliance/AML experience operating at SMF 16/17 in a corporate banking environment
• Experience in a branch set up
• Relevant qualifications in compliance/AML/financial crime – e.g. ICA certificates/diplomas; CISI qualifications
• Knowledge of the UK regulatory framework including: SMCR, PRA Rulebook/FCA Handbook, PRA/FCA Conduct Rules

For further information please contact Natalie Eshelby