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Olivetree was founded on key guiding principles which direct our behaviour, our decision making, and our interaction with each other and our stakeholders. At the core of those principles is a collaborative, kind, and forward looking organisation where 'we' matters more than 'me'. Our intention as an organisation is to inspire our clients with ideas and insights that help them to achieve their objectives.
In support of our continued growth, an opportunity has arisen to work for Olivetree Financial Limited (OTFL), based in London. OTF is seeking to appoint an experienced Chief Compliance Officer and MLRO for the UK, assuming the SMF 16 & 17. The role will report to the CEO of OTFL and is very much considered a business partner to the CEO.
As SMF16/17 you will be the subject matter expert on all compliance and financial crime matters, setting a strong tone from the top to promote the highest conduct expectations, ensuring the organisation employs best practise policies and procedures to support on-going growth and business diversification The role involves provision of regulatory oversight for the existing franchise as well as working with the management team to investigate and implement new business opportunities. In the first 6-9 months, a priority will be to oversee a general remediation plan, which has been defined and is currently underway.
As CCO –Establishing and maintaining appropriate compliance arrangements. Including but not limited to;
Provision of regulatory and compliance advice to the Leadership Team
Regulatory horizon monitoring highlighting emerging risks, potential areas of non-compliance, providing advice on appropriate mitigating actions
Board advisory & reporting (MI)
Interpretation, implementation & management of policy, ensuring that compliance procedures and controls remain current and reflect industry practices
Management of all regulatory licence, permissions & submission requirements
Management of all Compliance monitoring programme & audit activities to identify, document and assess compliance risks associated with the firms' activities
Preparation & delivery of compliance training
Oversight of all transaction monitoring & surveillance
Promote a culture of compliance ensuring all colleagues are fully aware of their regulatory obligations
Routinely stress test and monitor the Company's' compliance with applicable regulatory rules and requirements
Investigate breaches/alleged breaches of regulation and alert the Board and Leadership Team of any compliance related issues
Assess compliance risks of any new products and services
Management of all escalated on-boarding queries
As MLRO - Maintaining appropriate financial crime arrangements. Including but not limited to;
Continually promoting AML awareness and culture
Receive and investigate all internal suspicious activity and suspicious transaction reports and determine reporting and actions (SARs and STORs)
Submissions to the NCA/FCA
Represent OTF, manage and resolve any financial crime investigation
Be responsible for the delivery of routine and ad hoc industry standard compliance and anti-money laundering training for all Company employees
Produce regular anti-money laundering reports for the Board and Leadership Team
Identify areas of potential compliance risk and develop/implement corrective action, including guidance to management
Assess, develop and maintain the Company's procedures regarding KYC
Routinely review internal processes to ensure financial crime is managed effectively, and introduce new procedures should gaps be identified
Assess the money laundering risks of any new products and services
Carry out an on-going review of the Company's procedures, systems and controls to ensure that they meet regulatory and audit requirements for compliance and anti-money laundering
The successful candidate will be a strong cultural fit for Olivetree. They will have experience in a senior compliance role within an FCA regulated investment/brokerage firm. Previous approval as SMF 16/17 (CF10/CF11) would be advantageous. The candidate will be of the highest quality, combining a strong risk management understanding with a commercial/pragmatic approach.
Experience and detailed understanding of equities
A strong interest and experience embracing technology solutions
Deep understanding and awareness of relevant regulation and legislation
Ability and gravitas to influence, support and promote a positive compliance culture at all level throughout the business
Be focused, with the ability to prioritise effectively, responding well under pressure
Excellent attention to detail
Embrace "reg-tech" and have views about how to continuously evolve our environment
Ability to think commercially and entrepreneurially about business opportunities
Comfortable challenging the status quo and saying no, in a constructive manner
Appreciate the necessity for change and willingness to adapt
Highly proactive and self-motivated
Flexible and open minded, willing and ready to taking on additional tasks as required
Professional Qualifications in Compliance and/or Financial Crime