Country Head of Compliance and DPO UK
Apex Fund Services Limited
London, GB
6d ago

The role Apex is currently recruiting is the Country Head of Compliance and DPO for APEX FUND SERVICES (UK) LTD. ( Apex UK ) covering the business of Apex in the UK.

Apex UK is regulated by the Financial Conduct Authority FCA providing services such as Transfer Agency, Fund Accounting, Domiciliation and Corporate Services for local and group clients.

  • The role encompasses compliance advisory, monitoring and fulfilment of the FCA requirements to meet the obligations set out in the Criminal Finances Act 2017;
  • Money Laundering Regulations 2017; General Data Protection Regulation 2018; Terrorism Act 2006; Anti-terrorism, Crime & Security Act 2001;
  • Counter-Terrorism and Security Act 2015; Serious Organised Crime and Police Act 2005; Financial Services and Markets Act 2000;
  • Companies House Act 2006; Bribery Act 2010; Common Reporting Standard (CRS) and any other applicable local and EU Directive / law.

    As the Country Head of Compliance and DPO, the candidate will be responsible for ensuring compliance of the status and data processed by Apex UK including review and filing of relevant notifications and approvals with the local Data Protection authority where required.

    Reporting Lines

    The candidate will report to the EU Head of Compliance for any compliance and regulatory matter, compliance monitoring program and oversight, escalations and monthly reporting and to the EU DPO for any data protection and data privacy matter, GDPR oversight program, monthly reporting, breaches and escalations.

    Responsibilities

  • Providing compliance leadership and guidance to the compliance officers, local management and relevant staff
  • Act as Compliance Oversight (CF10) and Money Laundering Reporting (CF11) for Apex UK
  • Ensuring regulatory updates on a monthly basis are issued in timely manner and where required based on changes in regulations affecting the provided services
  • Proactively identify situations that may pose significant compliance risk and ensure Compliance department guides management in the development / reviewing of applicable policies, procedures and business practices
  • Providing advice and training on anti-money laundering, sanctions and privacy matters with the assistance of your local Compliance officers / Money Laundering Reporting Officer
  • Working actively with the EU Regional Head of Compliance and Data Protection ensuring delivery and completion of the annual Compliance plan and supporting key areas of compliance risk in the relevant offices and is executed on a timely basis
  • Supervise the Compliance Officers day to day AML tasks : reporting, liaising with law enforcement agencies and other external authorities to ensure high quality standards and compliance with group and regulatory standards
  • Supervise the account opening approval oversight performed by the local Compliance officers, KYC periodic updates to KYC forms, on-
  • going sanctions monitoring where necessary

  • Ensure that Suspicious transaction monitoring and reporting to the relevant local authorities is performed by the local Compliance Officers / Money Laundering Reporting Officer in a timely and adequate manner
  • Be the first point of contact for the Regulator, maintaining an open and positive working relationship with them and ensure high quality in any correspondence
  • Implementation of regulatory implications of new product launches and service extensions
  • Supervise the local compliance officers and ensure quality in the delivery of monthly reports to the EU Head of Compliance
  • Supervise the local DPOs and ensure quality in the delivery of monthly reports to the EU DPO
  • To assist and oversee as necessary any associated strategic integration / harmonisation projects or ad hoc work that may be necessary
  • Any other task assigned to the appropriate candidate in line with the employment and or arising from initiative out of the Compliance Head Office.
  • The Skills :

  • Previous strong compliance experience and relevant compliance qualifications
  • Ideally have previously held control function as CF10 and CF11 approved by the FCA
  • The Person should demonstrate a high degree of self-reliance and self-motivation and should be able to take initiative for problem resolution
  • Ability to work autonomously and also be a leader of a team
  • Ability to work under pressure while maintaining high accuracy and quality standards
  • Ability to demonstrate integrity in all tasks and functions performed
  • Specific knowledge about Fund Accounting and Transfer Agency will represent a strong asset for this position
  • Excellent knowledge and experience of AML / Client due diligence / On boarding of clients.
  • Excellent knowledge of compliance monitoring procedures and reporting
  • Be able to provide detailed and analytical analyses of risks posed to the business
  • Experience in dealing with local Regulator would be an advantage
  • Strong presentation skills (verbal and written)
  • Strong PC skills including Word, Excel and Access
  • Please send your CV and cover letter including your current salary and salary expectations to UKRecruit apexfunds.co.uk

    We are an equal opportunity employer who seeks to recruit and appoint the best available person for a job regardless of marital / civil partnership status, gender (including pregnancy), age, religion, belief, race, nationality and ethnic or national origin, colour, sexual orientation or disability.

    Please let us know if you require any adjustments to enable you to apply or attend an interview. If you would like to discuss your requirements, or have any concerns about the application process, please contact your recruiter or contact our Talent Management Team at UKRecruit apexfunds.co.uk

    Please refer to our Privacy Policy for information regarding the Apex Group’s processing of personal data.

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