Senior Compliance Officer, MLRO and DPO

About the Role

As the Senior Compliance Officer, you will support the Head of Compliance in managing the existing team to ensure compliance with all relevant regulatory and legislative requirements, enabling the continued provision of a strong framework of internal controls and best practice guidance.

Acting as MLRO, you will receive reports of any information or other matter that comes to the attention of a person handling relevant business, which gives rise to actual knowledge or suspicion of money laundering. You will report relevant information to determine if such information or other matter gives rise to such knowledge or suspicion, make disclosures to the FIU or other appropriate authority if there is knowledge or suspicion of money laundering, and maintain all relevant registers as required.

As the Data Protection Officer, you will be responsible for ensuring compliance with applicable data protection legislation and regulations.

Main Duties

Key responsibilities will also include:

• Assisting with the management of the Compliance Department in conjunction with the Head of Compliance, working together to instil and foster a robust compliance culture.
• Keeping apprised of relevant laws, regulations, and guidelines impacting the business both locally and extra-territorially.
• Conducting client risk assessments and monitoring compliance in key risk areas.
• Reviewing, maintaining, enhancing, and testing documented policies and procedures, and ensuring staff accessibility and awareness at all times.
• Acting as Data Protection Officer.
• Working with and assisting the Group Compliance Director in relation to group compliance strategy, policies, and procedures.
• Reporting to the directors on a regular basis.

Ideal Candidate

• Minimum of 5 (A-C or 4-9) passes at GCSE level, including English and mathematics.
• Excellent written and oral communication skills.
• Ability to work to tight deadlines.
• Good attention to detail.
• High levels of integrity, ethical conduct, and confidentiality.
• Time management skills and ability to prioritise tasks accordingly.
• Excellent discretion, judgement, and organisational skills, and the ability to initiate projects with minimal instigation or oversight.
• Working knowledge or experience of the DPO role and functions.
• At least 3 to 5 years of experience in a senior compliance role, ideally as an MLRO.
• As an MLRO is an FSA Controlled Function, a relevant qualification (e.g., ICA Diploma in AML) or a commitment to ongoing professional development to gain appropriate accreditation is desirable. Any job offer will be subject to acceptance by the FSA as set out in the Fitness and Propriety regulations.