THE COMPANY:
Our client is successful and rapidly growing financial services firm.
THE RESPONSIBILITIES:
* Lead and manage the Compliance and AML teams, driving a culture of accountability and excellence, acting as the SMF 16 and SMF 17.
* Ensure compliance with all relevant laws and regulations
* Liaise with regulatory bodies
* Ensure all regulatory filings and reports are accurate and submitted on time.
* Lead the drafting, review, and implementation of comprehensive policies and procedures for legal, compliance, and AML activities.
* Regularly review and update policies to reflect changes in regulatory requirements, incorporating changes into the firm’s procedures and processes effectively.
* Draft and review key contracts, agreements, official responses to customer disputes and other legal documents
* Stay abreast of legal developments and advise the business on potential impacts.
* Act as the Money Laundering Reporting Officer (MLRO) for the company.
* Develop and implement AML policies and procedures.
* Conduct AML risk assessments and ensure effective AML controls are in place.
* Report suspicious activities to the relevant authorities and maintain records of such reports.
* Provide AML training and guidance to staff.
* Lead the end-to-end customer complaints process, ensuring timely and effective resolution.
EXPERIENCE REQUIRED:
* Strong academic background demonstrating analytical ability and capacity for handling complex regulatory frameworks.
* Current or recent experience as SMF16/SMF17
* Extensive experience in legal, compliance, and AML roles, within the financial services space- ideally from a brokerage environment
* Strong leadership and management skills.
* Excellent communication and interpersonal skills.
* First class levels of attention to detail and an excellent ability to accurately and coherently articulate points and arguments.
For further information please contact Natalie Eshelby