Compliance Officer/ MLRO/Data Protection Officer (Douglas)Description:
Our client is seeking a Compliance Manager/MLRO.
- Degree educated, preferably with an ICA qualification, or be working towards one
- Two years’ experience at a management level
- Good inter-personal skills
- Willing to develop a small team
Summary of Responsibilities
- Monitoring of compliance with the Rulebook and any other applicable requirements.
- Writing quarterly monitoring reports for the board and provision of other compliance reporting information.
- Writing quarterly MLRO board reports.
- Writing and maintaining Manuals and Procedures as they relate to Compliance, AML and Data Protection.
- Writing and preparation of the AML/CFT Risk Assessment.
- Implementation of procedural changes as a result of regulatory change, whether this be updating the procedures involved or training.
- Dealing with problem cases, which may include AML issues, complaints and conflicts.
- Liaising with Directors on MLRO matters.
- Maintaining registers to ensure compliance with FSA regulations.
- Investigation of internal STRs and writing external STRs as required, as MLRO.
- Completing annual reporting to the FSA as required.
- Participating in Management meetings and Regulatory Admin meetings as required.
- Risk reviews and client onboarding including the approval of due diligence and client checks.
- Advising client facing staff on regulatory issues.
- Arranging AML training and testing across the Group.
- Providing AML updates across the Group.
- Arranging training for all staff.
- Ensuring that Viewpoint (CRM) is updated and maintained from a compliance perspective.
- Data cleansing and minimisation.
- Handling Subject Access Requests including liaising with staff as appropriate and production of material.
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