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£80,000 to £85,000
Job Type
8 Sep 2022

My client is a leading City based firm who are seeking an experienced Compliance professional with a background in Private Banking and / or Wealth Management. Acting as a key person to advise the business on Financial Crime matters you will work closely with the MLRO and senior Exco to provide support to the business and strengthen the existing controls in the business.

Duties and responsibilities will include

Assist the MLRO in taking on responsibility for ensuring that the firm has a robust framework in place covering all aspects of Financial Crime including AML, Sanctions, Market Abuse, Bribery & Corruption, Fraud, Cybercrime regulation etc.

  • Assist with the implementation of the firm's risk and compliance policies and procedures
  • Assist in the development and embedding of the firm's Risk Management Framework
  • Conduct reviews across the business to highlight and mitigate any potential Financial Crime risks
  • Lead and drive implementation of new Financial Crime rules, guidance and industry findings
  • Provide Management Information, including drafting the annual MLRO report
  • Create an enhanced and effective on boarding and review process
  • Monitoring of SARs & STORs and liaising with the NCA / FCA
  • Assist in investigating suspicious behaviour, including dealing activity and transactions alerted via the trade surveillance system or information requests received from Exchanges or Regulators.

The ideal candidate will have

Generalist Compliance experience in the Wealth Management sector

  • Good knowledge of regulations around Financial Crime particularly relating to the Wealth Management sector.
  • The ability to assimilate information and produce well written succinct detailed reports for senior management.
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  • Job Reference: 707317471-2
  • Date Posted: 8 September 2022
  • Recruiter: Davies Resourcing
    Davies Resourcing
  • Location: London
  • Salary: £80,000 to £85,000
  • Sector: Banking & Financial Services
  • Job Type: Permanent