Overview

We are exclusively recruiting for a wealth management business looking for a Compliance Officer & MLRO, CF10 & 11, to join their business as they approach an exciting period of growth. An ideal opportunity for an individual looking to make that next step up in their career and grow alongside a pleasant and well respected business.

Main Responsibilities:

  • Advise the business and management team on a daily basis.
  • Establish a monitoring programme that takes into consideration all areas of the investment firm’s investment services.
  • Provide the management board with regular compliance reports.
  • Carry out regular training to staff.
  • Create new policies & procedures for the business as and when required.
  • Monitor regulatory developments and advise on implications to the firm.
  • Act as MLRO and ensure relevant controls are in place for the business.
  • Oversee regulatory reporting including CRS and FATCA reporting, US IRS and other Inter Governmental Agreements.

Job Requirements:

  • At least 5 years broad Compliance experience working within a similar wealth management business.
  • The successful individual will be required to hold CF10 & 11 however would not have necessarily held this previously.
  • Level 4 or above qualification in financial services
  • Knowledge of FATCA would be preferential.
  • Excellent interpersonal skills, must be comfortable advising the business on a daily basis.

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us.

Apply for this role through this job post or email an application to jobs@clarcrecruitment.com

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