- Formulate the firm’s compliance strategy based on government legislation and the FCA’s rules and guidance on best practice, manage the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures.
- Maintain an effective consultancy, monitoring and advisory Compliance resource for the Group.
- Assist the Board in the achievement of Regulatory Priorities in relation to Conduct Risk and Consumer Duty.
- Produce, agree, implement, supervise and review strategic and business plans for the Compliance function, including the Compliance
- Monitoring Plan, in order to contribute to the overall compliant operations of the Group.
- Attend Group Management and Board meetings as required.
- Undertake Money Laundering Reporting Officer responsibilities. Report as necessary to Board/senior management on money laundering matters and ensure that appropriate anti-money laundering procedures, controls and risk appetite are in place across the Group.
- To maintain visibility of the broader spectrum of financial crime risks (e.g. fraud, bribery); to take action where appropriate to mitigate those risks, and to report/escalate accordingly through line/senior management.
- Provide guidance and training to other members of Compliance and Group staff, where required.
Back to searchDirector of Compliance & MLRO- SMF16 &17
Broadgate Search Ltd
Posted 2 days ago, valid for a month
London, Greater London EC1R 0WX
£45,000 - £54,000 per annum
Full Time
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Sonic Summary
- The Director of Compliance & MLRO SMF16&17 position in Asset Management offers a flexible remote/hybrid work arrangement with access required to the Head Office in the South.
- The role involves managing a team of six and ensuring the Group adheres to regulatory requirements and expectations.
- Candidates should have experience in formulating compliance strategies, implementing policies, and maintaining effective compliance resources, particularly in an Asset/Fund Management environment.
- The position requires a salary of £120,000 to £140,000 and a minimum of 5 years of relevant experience at an SMF level.
- Interested applicants should contact Matt Carter for more information.
