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Occupy the CF10 – Compliance Oversight and CF11 – Money Laundering Oversight, controlled functions;
Work with the MD and CC to implement FCA regulatory requirements into the firm's compliance program;
Day-to-day operation of the compliance program and conducting of periodic compliance reviews within the UK office and provide reports to the MD, Executive management and CC where appropriate;
Ensure that policies, procedures and standards of conduct are communicated, understood and appropriately implemented within the UK offices;
Aid with the delivery of training as required;
Develop and maintain strong relationships with UK employees and provide appropriate advice on compliance matters and refer / escalate issues to the MD as required;
Monitoring firm-wide compliance, risk assessment, forensic testing and developing remedial action with assistance from the CC;
Aid in advising management and staff of the implications of regulatory changes;
Recommend improvements where appropriate and aid in keeping the Compliance Manual and other policies and procedures up-to-date considering developing legislation;
Coordinate, manage and participate in any regulatory examinations as needed;
Assisting the firm's KYC / CDD / EDD processes.
The ideal candidate will have at least one years' experience within financial services in a Compliance-related role;
The Regulation and Compliance Module of the CISI examinations, or equivalent; and
Knowledge of global Money Laundering prevention legislation and the Joint Money Laundering Steering Group guidelines.
ABOUT THE APPLICANT - COMPULSORY
The gravitas to successfully discharge the Compliance function;
A self-starter with strong execution focus and ability to work independently and with support;
Excellent interpersonal and communication skills;
Broad business acumen to identify and connect Compliance risks across the firm;
Ability to effectively balance Compliance and business operations;
Knowledge of relevant FCA rules including COBS and CASS;
Strong attention to detail.
The role represents an ideal opportunity for a Compliance person to step into their first Compliance Officer role in a small FCA authorised and regulated firm however, the incumbent will not be isolated and will be supported by a very experienced CC.
The role also represents a 'greenfield' prospect, enabling the incumbent to develop the role in their own manner with experienced advice, guidance and oversight.
Compliance and AML duties will be split across two distinct fields, being:
Operational (day-to-day) Compliance; and
The incumbent will be 'in situ' responsible for Operational Compliance e.g., account approvals, FCA correspondence, general queries, Approved Person applications and removals etc... whereas the CC will work remotely and will be responsible for such Compliance elements as financial regulatory reporting, policy development and high-level projects.