Accessability Links

MLRO (CF11)

  • Location: London
  • Sector: Compliance
  • Salary: Negotiable
  • Job type: Permanent
  • Date posted: 06/11/2018
  • Job reference: 31682

The successful Compliance MLRO will work closely with the Compliance team, with a primary focus on managing day to day business queries and tasks, including the approval of client accounts and financial promotions. Duties will include: due diligence checks; assisting with the development of improved procedures; monitoring compliance AML and other regulatory requirements; file reviews and monitoring; analysing client feedback and preparing data. Excellent IT skills and a detail orientated approach to your day to day work will therefore be essential.

Key responsibilities include:

  • Taking on the CF11 and principal responsibility of the firm's nominated money laundering reporting officer;
  • Oversight and management of KYC reviews, approvals and financial crime monitoring;
  • Leading and coordinating any business or group wide remediation projects related to financial crime;
  • To take a leading role within the Compliance team and manage internal stakeholders, queries and other compliance related matters;
  • Coordinating, managing and supporting the Compliance team and its collective responsibility;
  • To manage, approve and coordinate the on-boarding clients and broker-counterparties;
  • Enforcing all elements of the Firms regulatory policies and procedures;
  • Carrying out of Compliance Monitoring in line with the Firm's monitoring program;
  • Working with and assisting the MLRO and Head of Compliance with complex clients;
  • Drafting and submission of monthly regulatory reports which are disseminated to the Board;
  • Preparing and carrying out company-wide-training;
  • Maintaining and enforcing the Training & Competence scheme;
  • Preparation of FCA Connect applications and other organizational administration;
  • Drafting, reviewing and on-going management and company-wide adherence to compliance policies and procedures;
  • Taking ownership and supporting other members of the compliance team in ad hoc projects;
  • On-boarding of Appointed Representatives and Tied Agents;
  • Approving employee personal trades and to ensure staff members have obtained the required approval before trading;
  • Providing Compliance Inductions to all new members of staff;
  • Rolling out of AML courses, the firm's AML Handbook and the firm's Compliance Manual to all new members of staff;
  • Any other tasks associated with those listed above;
  • And other tasks that may be assigned to you from time to time.

Skills and experience

  • Extensive experience working with compliance team within financial services
  • Educated to degree level
  • Relevant Compliance qualifications desirable
  • Technical knowledge KYC/AML
  • Strong organisational skills and ability to successfully manage multiple tasks proactively within a team environment
  • Excellent written and verbal communication skills
  • Ability to prioritise and meet deadlines
  • Good interpersonal skills and ability to work independently
  • Strong IT skills and proficiency in Excel.
  • Previous investigative experience
  • Experience of Financial Crime and Risk within an international setting

Who we work with

Other Clients