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Accountable to the PRA / FCA for the delivery of the firm's regulatory compliance and financial crime obligations by holding the Controlled Functions CF10 Compliance Oversight, CF11 Money Laundering Reporting Officer
File compliance regulatory and company returns within set deadlines
Validate and approve KYC documentation relating to account opening and payments
Development of an appropriate, risk based, compliance framework
Provide timely, accurate, and relevant regulatory advice to the business
Responsible for the firm's compliance with the FCA and PRA rules on systems and controls, CASS Oversight
Providing administrative support to the outsourced internal audit service, arranging management responses and monitoring follow-up and remedial action
Maintain and execute the Compliance Monitoring Program to include periodic tests of the effectiveness of firm policies
Providing compliance and Money Laundering training for all staff and management
Serve as the firm's key point of contact with the PRA and FCA including all authorisation and breach reporting matters
Undertaking ad-hoc projects as required.
Experienced as a CF10/CF11/CF10A/CF28
Experience on the Wealth Management/ Securities Trading
Good knowledge of FCA, PRA and any other applicable rules relating to Financial services