Head of Compliance & MLRO

  • Location

    London, England

  • Sector:

    Banking & Financial Services

  • Job type:

    Permanent

  • Salary:

    £110000 - £140000 per annum

  • Contact:

    Jack Hitching

  • Contact email:

    trdaxtraadresp@thesrgroup.com

  • Job ref:

    PR/203054_1635419589

  • Published:

    about 1 month ago

  • Expiry date:

    2021-11-27

Responsibilities

This is a varied role and responsibilities include (but are not limited to):

  • Perform Compliance Officer & Money Laundering Reporting Officer role (Hold the FCA SMF16 &17 functions)
  • Ensure Compliance with relevant Financial Conduct Authority (FCA) and other regulatory obligations
  • Responsibility for financial crime prevention for firm's UK operations
  • Handle FATCA/CRS reporting's and self-certification requests
  • Maintain and update Compliance & AML policies
  • Work together with global Compliance team on Group Compliance topics
  • Maintain and update Compliance Monitoring Program and perform Compliance tests
  • Perform KYC checks
  • Draft regular Compliance and MLRO reports
  • Conduct Compliance and AML risk assessments
  • Develop a regulatory training schedule for staff and deliver staff updates when required, in conjunction with the Group Compliance team
  • Provide advice and support on Compliance related topics to the business
  • Work on regulatory changes projects
  • Assist with KYC queries from counterparties
  • Act as liaison with FCA and other relevant regulatory & enforcement bodies as appropriate and with Internal and External Audit
  • Take care of regulatory filings using the FCA's RegData and Connect systems
  • Take care of Compliance coverage of UK branch of foreign MiFID firm
  • Handling Corporate Secretarial Matters for UK legal entities
  • Working together with Global Legal function on corporate legal matters

Key Skills / Experience

  • Proven track record within Compliance gained within real estate asset management, compliance consultancy or FCA
  • Ability to implement solutions to address regulatory requirements
  • Sound knowledge of the FCA handbook
  • Experience of Compliance monitoring
  • Degree educated, ideally in law or accounting (or equivalent)
  • Understanding of corporate legal matters is of advantage
  • Excellent oral and written communication skills

Experience required

  • At least 3-5 years' experience in an FCA focussed Compliance role
  • Experience gained at an Asset Management firm, as a Compliance/Regulatory Consultant from law firm, Big4 or specialist firm, or at the FCA.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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