The purpose of this role is to oversee the compliance within the company with the regulatory requirements, including those related to money laundering. As the Compliance Officer you will be required to act as the Money Laundering Reporting Officer and provide continual risk assessment and development of comprehensive policies and procedures, compliance training, protocols, and internal investigation for all areas of the business.
Duties and Responsibilities will include:
– Ensure that the day-to-day operations of business are in line with the agreed operational and compliance procedures;
– Ensure the operations of the firm adhere to the recent Anti-Money Laundering Guidelines;
– Supervise, monitor and develop the Senior Compliance Coordinator;
– Perform internal compliance investigations and audits, compiling detailed reports to the Partners;
– Ensure that all financial transactions are recorded and are carried out in accordance with instructions received;
– Develop compliance training materials and perform ongoing compliance training to ensure that the procedures are maintained;
– Provide ongoing advice and resources to management for compliance issues and process;
– Produce relevant returns and notifications to the regulators including meeting with regulators as required;
– Specialist projects as agreed with the Partners to support the requirements of the business;
As the Money Laundering Reporting Officer you will be responsible for the following:
– The internal review of all internal disclosures;
– Maintain all related records;
– Provide support and guidance to the Board and senior management to ensure money laundering and terrorist financing risks are adequately managed;
– Liaise with the FCU and the Commission and participate in any third party enquiries in relation to money laundering or terrorist financing prevention, detection, investigation or compliance;
– Provide reports and other information to senior management as required.
Skills and Experience required:
– Have had experience in a similar role and/or compliance environment;
– Hold relevant compliance qualifications or be studying towards them;
– Have a detailed working knowledge of the FSA Guidelines, Rule Book and requirements;
– Have current knowledge of Anti-Money Laundering Guidelines;
– Strong Relationship Management, Interpersonal, Communication, influencing and negotiating skills;
– Proven business development skills;
– Policy development and implementation;
– Presentation and IT skills including PowerPoint, Excel.
– Strong in building relationships and able to communicate at all levels;
– Team player, as well as the ability to work on own initiative.