Compliance Manager & MLRO

Expiring today

Michael Page International Rec Ltd
70000.00 - 90000.00 GBP Annual
10 Sep 2017
25 Sep 2017
Contract Type
This Financial Services- Compliance Manager & MLRO position will be based in London and will be responsible for maintaining all inhouse compliance procedures and FCA reporting including AIFMD & SMR mapping.

Client Details

A Financial Services- Global Investment Management Business looking to appoint a Compliance Manager & MLRO to manage their UK and wider EU business.


This Financial Services- Compliance Manager & MLRO will be responsible for:

* Manage Compliance within the European business. This includes responsibility for:

* monitoring compliance with the obligations arising under the policies and procedures supporting the European business;

* maintaining a manual of required policies and procedures including those policies required for ensuring compliance with the relevant FCA, and other (e.g.; AIFMD) rules and regulations and monitor compliance with those policies and procedures;

* Maintain current and accurate list of FCA Approved persons, including filing forms for new approved persons and removing those who have left - principal user on FCA CONNECT system for this

* Maintain register of client classifications and ensure all new and potential clients are classified prior to undertaking any business

* Review all promotional material relating to investment business and approve prior to issue

* Providing new approved persons with training and records required.

Maintain and undertake a programme of quarterly monitoring to ensure continued compliance with policies and procedures.

* maintaining the European Compliance Map and any requisite compliance registers and managing applications and renewals for individual and corporate licences required;

* managing and coordinating annual policy reviews and on-going compliance training (review and monitoring training requirements and coordinate this training with the Group;

* managing Know Your Client checks in relation to all third-party entities;

* promoting compliance initiatives generally

* Perform the role of Data Protection Officer

* Leading project group to review implement changes to data protection from GDPR including providing advice and guidance on current (DPA) and future (GDPR) requirements e.g.; where new contracts are put in place or new systems are being designed

* Manage relevant policies and procedures

* Know Your Business Partner

* Lead contact for Cerico, Know Your Business Partner system.

* Coordinate with CBIT team to ensure that all KYBP requests submitted by the business are processed and followed through to conclusion

* Communication with business on KYBP policy and Cerico system

* Perform role of Money Laundering Reporting Officer in regulated business and assist with advice on anti money laundering policies for wider business, for example residential sales team

* Maintain register on gifts & entertaining, personal account dealing and breaches


* Tertiary qualified in Accounting, Audit, Finance or Commerce or a similar discipline.
* Relevant post graduate qualifications such as Graduate Diploma in Applied Corporate Governance.

Strong project management skills

Strong writing and verbal communication skills, including board presentation skills

* Strong business acumen and project management skills

Strong experience in a compliance and/or corporate governance role preferably in the funds or investment management industry with an in-depth knowledge of all relevant legislation including Data Protection Act.

Job Offer

A brilliant opportunity offering a competitive salary and package.