Compliance Manager/ MLRO

A reputable client of ours, operating and specialising within the investments services sector is seeking to recruit a Compliance Manager/ MLRO to join their team of professionals: 

Duties:

• Ensuring the company has proper documented standard operating procedures that are in line and comply fully with the relevant up-to-date regulatory requirements thereby helping to safeguard the company’s reputation
• Preparing quarterly and annual compliance reports and presenting these directly to the board of directors and the Risk & Compliance Committee
• Coordinating the completion of the BRA with the organization's external advisors
• Maintaining a report of breaches and presenting these as part of the compliance report
• Keeping abreast with all new regulations, carefully analyzing these and advising the board and management of the implications of the new regulations
• Overseeing processes that may require change in order to adhere to the new regulations
• Maintaining and executing an ongoing compliance program that covers all aspects of the business which is to be executed on a rolling basis
• Submitting all the required reports to the regulators on a regular basis
• Updating all the company’s policies and procedures and ensuring that they represent the forefront of best practices and good governance
•  Liaising with the regulators and other authorities on any correspondence that the firm receives in respect to its obligations to the regulators
• Keeping abreast and undergoing regular training to ensure the company is at the forefront of industry trends
•  Leading a compliance team that reflects the size and nature of the company’s activities

Skill-sets and Requirements

• Minimum of 3 years experience in a similar role, locally
• Must have the ability to take initiative and be an excellent team player
• Must be PQd or eligible
• Excellent communication and interpersonal skills

Job Reference: UG264