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Guildford

    Regulatory Affairs - Guildford, Surrey, United Kingdom - MPowered Mortgages

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    Description
    Job Description Purpose
    Responsible for providing and managing a high-quality compliance framework as well as managing a small in-house team. Acting as the firm's Money Laundering Reporting Officer (MLRO) and holding SMF17.

    Examples of Key Activities

    Compliance Oversight
    Serve as the primary point of contact for regulatory inquiries and examinations.
    Keep abreast of regulatory developments and communicate changes to relevant stakeholders.
    Coordinate responses to regulatory inquiries and manage relationships with regulatory bodies.
    AML Compliance
    Serve as the primary point of contact for regulatory inquiries and examinations.
    Keep abreast of regulatory developments and communicate changes to relevant stakeholders.
    Coordinate responses to regulatory inquiries and manage relationships with regulatory bodies.
    Regulatory Liaison
    Serve as the primary point of contact for regulatory inquiries and examinations.
    Keep abreast of regulatory developments and communicate changes to relevant stakeholders.
    Coordinate responses to regulatory inquiries and manage relationships with regulatory bodies.
    Training and Awareness
    Provide training and education to employees on compliance and AML requirements.
    Foster a culture of compliance awareness throughout the organization.
    Develop and deliver regular compliance training sessions to ensure staff understanding and adherence to policies.
    Risk Management
    Identify and assess compliance and AML risks associated with business activities.
    Develop strategies to mitigate compliance and AML risks effectively.
    Monitor industry trends and emerging risks to proactively address potential issues.

    Job Role Accountabilities
    Act as the MLRO and hold the FCA SMF17.
    Implement robust AML measures to prevent and detect money laundering activities, safeguarding the integrity of the organisation.

    Ensure that the company operates in compliance with all relevant regulations and laws, minimizing regulatory risks and potential financial penalties.

    Serve as a trusted advisor to senior management on compliance and AML matters, providing strategic guidance and recommendations.
    Maintain a strong working relationship with regulatory authorities, demonstrating transparency and cooperation in all interactions.
    Functional Structure and Key Relationships
    Direct Reports
    Compliance Monitoring Lead
    Senior Financial Crime Lead (Deputy MLRO)

    Key Relationships
    Job Title Relationship
    Chief Risk Officer Alignment of Risk and Compliance Frameworks and regulatory development
    monitoring and implementation

    Boards and Committees Role
    Risk and Credit Committee Member
    Customer Outcomes Committee Chair

    Corporate Accountabilities
    Always act within all FCA Regulations with integrity and ensure all customers are treated fairly.
    Complete all mandatory training as and when required.
    Always ensure adherence to all Firm policies and procedures.

    Qualification, Skills, Knowledge and Experience

    Qualifications
    Essential
    Degree in relevant finance or legal
    Discipline
    Professional qualification in finance or legal
    Desirable
    CeMap
    Member of the CISI or industry equivalent

    Skills and Knowledge

    Extensive experience (minimum 7 years) in compliance and AML roles within the financial services industry, preferably within a mortgage lending or banking environment.

    Strong knowledge of UK regulatory requirements, including FCA regulations and AML legislation (e.g. Money Laundering Regulations

    Proven experience in developing and implementing compliance policies and procedures, as well as conducting compliance audits and risk assessments.

    Excellent communication and interpersonal skills, with the ability to effectively engage with stakeholders at all levels of the organisation.

    Analytical mindset with the ability to identify compliance and AML risks and develop appropriate risk mitigation strategies.
    Demonstrated leadership skills, including the ability to lead and motivate a team of compliance professionals.

    Sound judgment and integrity, with a commitment to upholding ethical standards and promoting a culture of compliance within the organisation.

    Able to demonstrate a creative, innovative and collaborative approach

    Experience
    Broad experience gained from working in a regulated mortgage environment
    Strong experience and understanding around handling data


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