We are recruiting for a wealth management business looking for a Compliance Officer & MLRO, SMF 16 & 17, 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.
- 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.
- 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.
- Knowledge of FATCA would be preferential.
- Excellent interpersonal skills, must be comfortable advising the business on a daily basis.
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