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Overview

Our Client, a large firm of Chartered Accountants and TCSP is seeking a Head of Compliance to join their busy general accountancy practice and corporate service provider.

In this role you will play a crucial part in ensuring robust compliance procedures are maintained across the business and various divisions, and will be a key member of the management team.

As Head of Compliance here you will be:

• Managing the Compliance Department with all aspects of client compliance and supervising tasks through to completion
• Overseeing the maintenance of the firm's policies and procedures and compliance manuals and directly updating as appropriate
• Keeping up to date with relevant regulation and legislation and assisting the Board with regulatory consultations
• Directly implementing the Compliance Monitoring Plan for the firm
• Review of quarterly compliance reports for the Board and attendance at the Quarterly Compliance meetings, ensuring the follow up of matters arising; exception reporting and monitoring
• Assisting the Deputy MLRO and MLRO to ensure compliance with AML/CFT legislation and guidance and overseeing the arranging/preparation of AML training
• Overseeing the preparation and submission of regulatory returns
• Ensuring compliance with all regulatory requirements and deadlines
• Acting as primary point liaison with the IOMFSA
• Attending the signoff Committee meetings and the Risk Committee meetings, following up matters arising
• Perform regular monitoring of high-risk clients
• Risk assessing Politically Exposed Persons (PEPs) and maintaining the PEP register
• Maintenance of compliance registers and breach investigations
• Providing ongoing advice and support to staff in relation to all compliance matters
• Carrying out firm wide training as appropriate and relevant
• Supervising compliance staff in relevant tasks and undertaking monthly reviews

The ideal candidate for the role of Head of Compliance will:

• Hold a professional qualification in compliance
• Be IOMFSA approval to act as HOC
• Have longstanding experience as a HOC in the TCSP industry
• Good working knowledge of Financial Services Rule Book & the AML/CFT Code
• Experience of developing and directly implementing a Compliance Monitoring Plan
• Strong people leader who will see tasks through to completion, whilst at the same time being fully involved in all aspects of day to day compliance work
• Excellent interpersonal skills which enable the HOC to work effectively with all department members, and also to collaborate with external parties when needed
• Strong organisational skills and ability to work to strict deadlines
• Willing to take on responsibility and ownership of tasks
• Methodical, with attention to detail