Senior Compliance Coordinator and DMLRO (O912955)

Overview

Join our client, a leading international firm of Chartered Accountants, as their Senior Compliance Coordinator and DMLRO. In this role, you will play a vital part in ensuring regulatory compliance, risk assessment, policy development, training, protocols, and internal investigations for the firm's diverse wealth management portfolio.

The firm's Compliance department oversees compliance with regulatory requirements, provides continual risk assessment, development of comprehensive policies and procedures, compliance training, monitoring, and internal investigations for all areas and jurisdictions of the firm. The department also oversees the company statutory filings and works with the auditors regarding their clients' FSA regulatory requirements.

Reporting to the Partners and the Compliance Director, the primary purpose of the Senior Compliance Coordinator is to oversee the firm's compliance with the regulatory and statutory reporting requirements.You will also act as the firm's Deputy Money Laundering Reporting Officer and provide continual risk assessment and development of comprehensive policies and procedures, training and internal investigation.

As Senior Compliance Coordinator you will:

• Ensure that the day-to-day operations of business are in line with the agreed operational and compliance procedures for the firm
• Ensuring the operations of the firm adhere to the recent Anti-Money Laundering Guidelines
• Perform internal compliance investigations and audits, throughout the firm, including compiling detailed reports to the Partners
• Ensure that all financial transactions are recorded and are carried out in accordance with instructions received and within set time limits
• Develop compliance training materials and perform ongoing compliance training throughout the firm and ensure that the procedures are maintained and worked to
• Provide ongoing advice and resources to management for compliance issues and process monitoring and improvement, and to work with management
• Produce relevant returns and notifications to the regulators
• Specialist projects as agreed with the Partners to support the requirements of the business
• It is a mandatory requirement to operate on a daily basis within the ISO 9001 Quality Management System
• Understand the requirements of the ISO 9001 Quality Management System and maintain a good working knowledge
• Have an awareness of how departmental procedures, documents and record keeping have a positive or negative effect on the ISO 9001 Quality Management System

As the Deputy Money Laundering Reporting Officer, you will be responsible for:

• The review of all internal disclosures in the light of all available relevant information, determine the substance and, if appropriate, highlight to the Compliance Director and disclose externally to the FIU
• Maintain all related records
• Provide guidance on how tipping off the customer can be avoided if a disclosure is made, and manage any resulting constructive trust scenarios appropriately
• Provide support and guidance to the Board and senior management to ensure money laundering and terrorist financing risks are adequately managed
• Liaise with the FIU, FSA or other appropriate Regulatory Authorities and participate in any third-party enquiries in relation to money laundering or terrorist financing prevention, detection, investigation or compliance
• Provide reports and other information to senior management as required

The ideal candidate for the role of Senior Compliance Coordinator and DMLRO will have:

• A minimum of three years' experience within an office environment
• Possess a good understanding of compliance and its function
• Ability to produce accurate work in a rapid and fast paced environment
• Project management and presentation skills
• PC literate, particularly with Excel, Word and PowerPoint applications
• Have a professional and positive approach
• Strong in building relationships and be able to communicate at all levels
• Is self-motivated, a team player, while able to work on your own initiative