Our client is seeking a Compliance Manager to oversee regulatory compliance and risk management for client entities. This office-based role will involve acting as MLCO/MLRO once the probation period is successfully completed, at which point a revised job description will be issued. The successful candidate will be responsible for monitoring regulatory adherence, managing compliance risks, and liaising with relevant authorities.
Job Duties:
- Serve as the principal point of contact for employees on client onboarding and regulatory matters.
- Monitor operational performance and manage regulatory and compliance risks.
- Ensure internal policies and procedures are consistently and effectively followed.
- Assess and recommend amendments to internal controls, policies, and procedures.
- Instigate corrective action to address compliance deficiencies.
- Provide regular written reports to client company Boards on regulatory compliance.
- Act as the primary liaison with regulatory bodies on day-to-day compliance matters.
- Assist the Client MLCO in monitoring and testing anti-money laundering (AML) controls.
- Report periodically to the Board on compliance with AML regulations and key compliance issues.
- Respond to requests for information from regulatory authorities.
- Supervise and support other staff as appropriate.
- Prepare reports, attend Board meetings, and undertake necessary management functions.
- Identify and report compliance risks and issues.
- Stay updated on legislative changes and best practices in compliance and AML.
- Assist the Board in minimising corporate risk through compliance with regulations.
- Maintain compliance registers, logs, and documentation.
- Prepare and process Client Due Diligence (CDD) documents.
- Liaise with clients and colleagues to collect and assess CDD information.
- Complete risk assessment forms and prepare CDD reports for Board approval.
- Conduct sanctions and adverse media checks, escalating issues as necessary.
- Perform CDD and client profile reviews in accordance with internal policies.
- Update and monitor centralised compliance databases.
- Ensure client files and records are up to date, highlighting outstanding matters.
Job Requirements:
- JFSC Table A/B qualified.
- Relevant experience and qualifications to fulfil the MLRO/MLCO/CO role.
- Strong interpersonal and communication skills, both written and verbal.
- Ability to manage multiple tasks simultaneously with a flexible approach.
- Highly organised and methodical in work processes.
- Proficiency in Microsoft Excel and Word.
- Strong teamwork and collaboration skills.
- Sound organisational and problem-solving abilities.
- Ability to handle confidential matters with discretion and professionalism.
What You'll Love:
This role offers the opportunity to take on key compliance responsibilities within a professional environment, ensuring regulatory integrity and risk management for client entities. You will work closely with senior stakeholders, regulatory bodies, and internal teams, gaining valuable experience in compliance leadership. Our client supports continuous learning and professional growth, providing a structured environment to advance your career.
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