Head of Compliance / MLRO / DPO

Attributes

  • Degree educated, preferably with an ICA qualification, or be working towards one
  • Two years’ experience at a management level
  • Good inter-personal skills
  • Willing to develop a small team

Summary of Responsibilities

  • Monitoring of compliance with the Rulebook and any other applicable requirements.
  • Writing quarterly monitoring reports for the board and provision of other compliance reporting information.
  • Writing quarterly MLRO board reports.
  • Writing and maintaining Manuals and Procedures as they relate to Compliance, AML and Data Protection.
  • Writing and preparation of the AML/CFT Risk Assessment.
  • Implementation of procedural changes as a result of regulatory change, whether this be updating the procedures involved or training.
  • Dealing with problem cases, which may include AML issues, complaints and conflicts.
  • Liaising with Directors on MLRO matters.
  • Maintaining registers to ensure compliance with FSA regulations.
  • Investigation of internal STRs and writing external STRs as required, as MLRO.
  • Completing annual reporting to the FSA as required.
  • Participating in Management meetings and Regulatory Admin meetings as required.
  • Risk reviews and client onboarding including the approval of due diligence and client checks.
  • Advising client facing staff on regulatory issues.
  • Arranging AML training and testing across the Group.
  • Providing AML updates across the Group.
  • Arranging training for all staff.
  • Ensuring that Viewpoint (CRM) is updated and maintained from a compliance perspective.
  • Data cleansing and minimisation.
  • Handling Subject Access Requests including liaising with staff as appropriate and production of material.

If you like the look of this role, then we would like to hear from you! Please send us an email with your CV.
You can download your own copy of the job specification here.