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Our client is a global financial services provider. They are looking for a Client Compliance Officer / MLRO / MLCO for their team. The successful person will have responsibility for ensuring that the portfolio of client entities assigned have comprehensive and effective system and controls in place to maintain compliance with relevant legal and regulatory requirements, to advise on such systems and controls and to monitor for compliance with them. You will be appointed as the Compliance Officer (“CO”), Money Laundering Compliance Officer (“MLCO”) and Money Laundering Reporting Officer (“MLRO”) for certain client entities, which may include managed entities, unclassified (or materially equivalent non-domiciled) funds (which may include listed and expert funds), JPFs and PPFs.
Operating within the defined MLRO policy and procedures including, but not limited to: Management of all suspicious activity report (“SAR”) activities within established timeframes and liaison with the JFCU. Ensuring internal and external relationships are managed effectively mindful of tipping off requirements. Maintaining the various registers and the MLRO actions tracker / reporting of any actions required. Guiding the business / client entities to comply with the terms of consent or non-consent letters and subsequent production and/or restraint orders and coordinating required action upon such directions.
Team management, including regular 1:1s, appraisals and development meetings.
Strong academic background and industry relevant professional qualification. In depth knowledge of the Finance industry and have previously held CO / MLCO / MLRO positions within a FSB and preferably unclassified funds environment. Excellent people management, interpersonal (at all levels), analytic, and diplomacy skills.
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