A specialised private equity firm, dedicated to driving investments and advancing European enterprises, is currently on the lookout for a skilled part-time Compliance Officer/MLRO to join their team. With added potential for transitioning into a full-time position
Key responsibilities will include:
- Crafting and executing annual compliance plans encompassing compliance monitoring and the creation of the compliance manual, in collaboration with the broader compliance team.
- Continuously monitoring evolving best practices in Compliance and AML, including active participation in industry forums and collaborative working groups.
- Serving as the point of contact for interactions with the FCA and external compliance advisors, managing regulatory reporting to the FCA, and upkeeping registers.
- Compiling updates and assessments for the Senior Managers and Certification Regime, encompassing fit and proper assessments and updates to the FCA register.
- Maintaining a vigilant awareness of individual and firms obligations under relevant laws.
- Receiving, documenting, evaluating, and investigating all reports of suspicious transactions from personnel, and making corresponding reports as needed.
- Keeping comprehensive records of submitted reports and received inquiries.
- Ensuring staff members receive adequate training on AML and other regulatory mandates.
- Providing support to the broader firms Compliance function in reviewing and approving personal trade requests, preparing insider lists as mandated by the Market Abuse Regulation, and contributing to the GDPR program.
Experience Required:
- Skilled in managing compliance and regulatory matters within the funds sector.
- Hold a relevant professional qualification, preferably with a legal background.
- Essential recognition as an FSC key person.
- Experience and skills in regard to Anti Money Laundering requirements.
Get in touch or apply for more information!
Eames Consulting is acting as an Employment Agency in relation to this vacancy.
