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    Head of Compliance and MLRO - Guildford, United Kingdom - MPowered Mortgages

    MPowered Mortgages
    MPowered Mortgages Guildford, United Kingdom

    4 weeks ago

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    Accounting / Finance
    Description
    PurposenResponsible 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 OversightnServe as the primary point of contact for regulatory inquiries and examinations.nKeep abreast of regulatory developments and communicate changes to relevant stakeholders.nCoordinate responses to regulatory inquiries and manage relationships with regulatory bodies.nAML CompliancenServe as the primary point of contact for regulatory inquiries and examinations.nKeep abreast of regulatory developments and communicate changes to relevant stakeholders.nCoordinate responses to regulatory inquiries and manage relationships with regulatory bodies.nRegulatory LiaisonnServe as the primary point of contact for regulatory inquiries and examinations.nKeep abreast of regulatory developments and communicate changes to relevant stakeholders.nCoordinate responses to regulatory inquiries and manage relationships with regulatory bodies.nTraining and AwarenessnProvide training and education to employees on compliance and AML requirements.nFoster a culture of compliance awareness throughout the organization.nDevelop and deliver regular compliance training sessions to ensure staff understanding and adherence to policies.nRisk ManagementnIdentify and assess compliance and AML risks associated with business activities.nDevelop strategies to mitigate compliance and AML risks effectively.nMonitor industry trends and emerging risks to proactively address potential issues.


    Job Role AccountabilitiesnAct as the MLRO and hold the FCA SMF17.nImplement robust AML measures to prevent and detect money laundering activities, safeguarding the integrity of the organisation.nEnsure that the company operates in compliance with all relevant regulations and laws, minimizing regulatory risks and potential financial penalties.nServe as a trusted advisor to senior management on compliance and AML matters, providing strategic guidance and recommendations.nMaintain a strong working relationship with regulatory authorities, demonstrating transparency and cooperation in all interactions.

    nFunctional Structure and Key RelationshipsnDirect ReportsnCompliance Monitoring LeadnSenior Financial Crime Lead (Deputy MLRO)

    Key RelationshipsnJob Title

    RelationshipnChief Risk Officer

    Alignment of Risk and Compliance Frameworks and regulatory developmentnmonitoring and implementation

    Boards and Committees

    RolenRisk and Credit Committee

    MembernCustomer Outcomes Committee

    Chair


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

    Qualification, Skills, Knowledge and Experience

    QualificationsnEssentialnDegree in relevant finance or legalnDisciplinenProfessional qualification in finance or legalnDesirablenCeMapnMember of the CISI or industry equivalent


    Skills and KnowledgenExtensive experience (minimum 7 years) in compliance and AML roles within the financial services industry, preferably within a mortgage lending or banking environment.nStrong knowledge of UK regulatory requirements, including FCA regulations and AML legislation (e.g.

    Money Laundering Regulations 2017).nProven experience in developing and implementing compliance policies and procedures, as well as conducting compliance audits and risk assessments.nExcellent communication and interpersonal skills, with the ability to effectively engage with stakeholders at all levels of the organisation.nAnalytical mindset with the ability to identify compliance and AML risks and develop appropriate risk mitigation strategies.nDemonstrated leadership skills, including the ability to lead and motivate a team of compliance professionals.nSound judgment and integrity, with a commitment to upholding ethical standards and promoting a culture of compliance within the organisation.nAble to demonstrate a creative, innovative and collaborative approach

    ExperiencenBroad experience gained from working in a regulated mortgage environmentnStrong experience and understanding around handling data

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