Exciting career opportunity to join this highly esteemed, fully authorised and regulated FCA asset management company based in London. Specialising in discretionary management services for high-net-worth individuals, family offices and institutional clients.
The role of the Compliance Officer is to ensure that our client adheres to legal standards, industry regulations, and internal policies to mitigate risk and prevent illegal activity.
Key duties include:
*Complex client due diligence
*Developing compliance policies
*Training staff
*Mitigating/investigating violations
*Conducting audits
*Acting as key liaison between management and regulatory bodies
The MLRO is also a senior, designated managerial role responsible for:
*Overseeing the firm’s anti-money laundering (AML) systems, policies, and procedures to ensure regulatory compliance,
*Central point for receiving internal, suspicious activity reports (SARs) and, upon investigation, decide whether to report them to the relevant authority.
*Our client has three Introducer Appointed Representatives, and managing oversight of their activities will form a core element of the role. A full handover will operate from the current retiring Compliance Officer.
Role Requires: Knowledge/Understanding & Experience of:
*AML responsibilities
*S.A.R. processes
*Supervision/oversight of compliance administration
*KYC (SoW & SoF) documentation
*Implementation of compliance procedures
*Compliance projects
*Data Protection
*Breaches
*Error Control
*Transaction Reporting
*Offshore asset management
*Guardian Order Management system, an advantage
If you are available immediately and like to be considered for this once in a lifetime role, please submit your application.