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- Tasks: Lead compliance initiatives and ensure adherence to AML and CTF regulations.
- Company: Established wealth management firm with a global client base.
- Benefits: Flexible working options, competitive salary, and professional development opportunities.
- Why this job: Make a real difference in financial compliance while working in a dynamic environment.
- Qualifications: Diploma in Compliance and strong understanding of financial regulations required.
- Other info: Opportunity for career growth and to work with key stakeholders across the business.
The predicted salary is between 36000 - 60000 £ per year.
Formed in the 1980s to provide independent wealth management advice and a bespoke service for both individual and corporate clients around the world, due to continued success in delivering bespoke Wealth Management solutions to their expanding client base, require an Experienced SMF16/17 Compliance Manager MLRO for their office in Surrey. The role can be employed or self-employed and WFH or Hybrid.
The Senior Compliance Manager and MLRO is responsible for the company's anti-money laundering (AML) and counter-terrorism financing (CTF) programs and reporting suspicious activities to the authorities.
Overall responsibility:Ensures the company adheres to all relevant external and internal rules, such as health and safety, environmental, legal, and ethical standards.
Scope:A broad mandate covering all aspects of regulatory compliance.
Duties:- Developing internal policies
- Managing audits
- Overseeing overall compliance programs
Focuses specifically on anti-money laundering (AML) and counter-terrorism financing (CTF) compliance.
Scope:A narrower, more specialized focus within the broader compliance function.
Duties:- Monitors and reports suspicious activities
- Develops and maintains the company's AML/KYC (Know Your Customer) policies and procedures
- Acts as the point of contact for regulatory authorities regarding AML issues
- Provides training to employees on AML/KYC
- Liaises with senior management to ensure compliance programs are implemented and resourced effectively
- Responsible for Group Due Diligence, Know Your Client and Anti Money Laundering processes across numerous regulatory jurisdictions
- Requirement to carry out continuous gap analysis to ensure all regulatory requirements are being met
- Assess and validate business risks and support the review of policies and the monitoring and testing of controls designed to address these risks
- Lead in client complaint handling
- Drafting of Service Level Agreements, Appointed Representative Agreements and all other legal documentation
- Required to implement and oversee where appropriate staff training
- Review and oversight of all outsourcing arrangements
- Compliance with Data Protection Regulations
- Provide regulatory guidance and input in support of all strategic projects and growth initiatives
- Maintain good strong working relationships and act as a point of contact for all regional managers and key stakeholders across the business
The above list is not extensive and other roles and responsibilities may be added as required.
Qualifications and Education Requirements:- Diploma in Compliance or equivalent qualification
- Comprehensive knowledge and understanding of relevant legislation, policies and codes governing the Financial Service Sector
- Deep understanding of Risk and Compliance environment with an established track record of designing and implementing appropriate procedures
- Strong leadership background with proven people management skills
- Effective communication and interpersonal skills at all levels
Compliance Manager MLRO SMF16 17 in Leatherhead employer: Cameron James
Contact Detail:
Cameron James Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager MLRO SMF16 17 in Leatherhead
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial services sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Showcase your expertise! Prepare a portfolio that highlights your experience with AML/KYC policies and compliance programs. This will give you an edge during interviews and demonstrate your hands-on knowledge.
✨Tip Number 3
Practice makes perfect! Conduct mock interviews with friends or mentors, focusing on compliance-related questions. This will help you articulate your thoughts clearly and confidently when it counts.
✨Tip Number 4
Apply through our website! We’ve got a range of exciting opportunities waiting for you. Plus, applying directly can sometimes give you a better chance of standing out to hiring managers.
We think you need these skills to ace Compliance Manager MLRO SMF16 17 in Leatherhead
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your experience with AML and CTF programs, and don’t forget to showcase your leadership skills. We want to see how you can bring your unique flair to our team!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for the role. Share specific examples of your past experiences that relate to compliance and risk management. We love a good story!
Showcase Your Qualifications: Don’t hold back on your qualifications! Make sure to mention your Diploma in Compliance or any equivalent qualifications. We’re looking for someone who knows their stuff, so let us know how you meet the requirements.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s super easy and ensures your application gets to the right place. Plus, we can’t wait to see what you bring to the table!
How to prepare for a job interview at Cameron James
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of AML and CTF regulations. Familiarise yourself with the latest legislation and be ready to discuss how you've implemented compliance measures in previous roles. This shows you're not just a paper pusher but someone who understands the real-world implications of compliance.
✨Showcase Your Leadership Skills
As a Compliance Manager, you'll need to lead teams and manage relationships. Prepare examples of how you've successfully led compliance initiatives or trained staff in the past. Highlighting your leadership experience will demonstrate that you can effectively guide others in adhering to compliance standards.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Think about how you would handle reporting suspicious activities or managing audits. Practising these scenarios can help you articulate your thought process and decision-making skills during the interview.
✨Understand the Company’s Culture
Research the company’s values and culture before the interview. Knowing how they approach compliance and their overall business strategy will allow you to tailor your responses and show that you're a good fit for their team. Plus, it demonstrates your genuine interest in the role and the organisation.
