Compliance Officer/ MLRO/Data Protection Officer (Douglas)
Description:

Our client is seeking a Compliance Manager/MLRO.

Attributes

  • 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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