CF11 MLRO / Risk and Compliance Services Manager
£85000 - £90000 + Bonus +Benefits
Well known private equity and real estate investment services firm
To ensure that the Company and any associated Client companies have a comprehensive and effective framework to monitor and report on matters relating to AML/CFT and Sanctions compliance, internal risk, regulation, legislation and controls.
To be appointed as CF11 (the Money Laundering Reporting Officer) and Data Protection Officer to the clients entities and where applicable, its client Licensees.
The Manager (Risk and Compliance) will support the Compliance Director in the deliver of Compliance and Risk services to Client Companies as required.
Support the Compliance Director, Senior Management and Operational staff by providing the client and associated Clients with AML / Compliance advice and guidance.
In conjunction with the Compliance Director to develop and roll out AML/CFT strategy as required and to implement new AML/CFT Sanctions policies and procedures.
CF11 KEY RESPONSIBILITIES
- To receive, investigate and if necessary report externally, internal reports of suspicion and/or terrorist financing.
- To receive, investigate and if necessary report externally, internal reports of sanctions breaches.
- To manage post-reporting considerations and client relationships accordingly, liaising with the competent authorities and external legal counsel as appropriate.
- Provide and present MLRO reports to my client and their client's boards as required.
- To have oversight of and where necessary engage in the satisfactory completion of customer due diligence on new and existing relationships and on-going monitoring obligations in accordance with the provisions of the applicable AML/CFT and Sanctions legislation and in accordance with the Company's AML/CFT risk framework. To assist the business with the efficient on-boarding of new clients.
- To attain and maintain the necessary experience and knowledge to ensure that the Company meets its regulatory requirements, and to update the Compliance Director, the clients Boards and the group MLRO forum with relevant regulatory information and changes.
- To attend and provide reporting to the clients boards including reporting on Investor Services (IIS) and the ID Register outsourced arrangements.
- To maintain the post of Data Protection Officer to the businesses to facilitate data access requests, potential data protection breaches, general Data Protection queries.
THE SUCCESSFUL CANDIDATE
Strong interpersonal skills and relationship management at all levels.
- The ability to deliver pragmatic solutions to AML/CFT and Sanctions related issues.
- Self starting and capable of working with light supervision.
- Five years plus hands-on experience executing projects in complex environments.
- Proven capability to apply best practice project methodology.
- Focused on great Client delivery/outcomes.
- Strong inter-personal skills and technical experience from a background in AML compliance and risk related disciplines..
- Working as part of a close team using resourcefulness to find solutions, thinking creatively and deliver pragmatic solutions in a dynamic workplace.
- Commitment to continuous professional development.
- Attendance at Industry seminars.
- AML and other relevant update / skills courses as required.
- Bachelor's degree / Further Compliance qualifications for example the International Compliance Association AML / Financial Crime Prevention Diploma, or Certified AML Specialist.
The position also incorporates Manager Risk, Compliance and Risk and Data Protection.