Compliance Officer/MLRO

A reputable client of ours, operating and specialising within the Investments services sector is seeking to recruit a Compliance Officer/ 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 analysing 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

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, ideally within the Investments sector
• Must have excellent verbal and written communication skills in English, and impeccable interpersonal skills

Job Reference: YJ636