Compliance Officer and Deputy Money Laundering Reporting Officer recruitment
My client a Boutique Investment Management firm based in the West End is currently hiring for DMLRO role. The candidates suited to this position will have broad exposure to Compliance including strong knowledge of AML and Financial Crime.
The responsibilities of this role will include:
Creating and Implementing the Compliance Plan in conjunction with the Head of Compliance.
Implement a Compliance monitoring program, documenting and reporting the findings.
Carry out reports and in the case of non-compliance escalate to the Head of Compliance.
Act upon areas of weakness as found in the compliance review and to see it's implementation to ensure these are rectified.
To assist in the design, creation and review of Policy and Procedures.
Working in close laison with Head of Compliance to ensure the business is working in close conjunction with the regulatiors.
Assist in investigating fully areas of concerns and reporting where appropriate.
To educate colleagues on the policies, procedures, laws and regulations on their impact on the business and provide advice where necessary.
To ensure that all approved persons are correctly Trained, Qualified and registered with the FSA by overseeing a training and competence regime.
Key skills required:
Broad knowledge of financial markets and expertise in major product areas and financial services
Thorough understanding of the regulatory framework
Experience in a Compliance position with direct exposure to Anti Money Laundering (AML)
Please submit your CV to richard.rapley@hays.com or call 0203 465 0110