UK Head of Compliance & MLRO
Page Executive
City of London
2d ago

Job Description

  • Providing compliance leadership and guidance to the compliance officers, local management and relevant staff
  • Act as Compliance Oversight and Money Laundering Reporting Officer
  • 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
  • The Successful Applicant

    A qualified compliance officer with broad experience across AML and Compliance UCITS knowledge, transfer agency, GDPR experience helpful Hard working, team player, good communication skills

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