- Drive compliance of the Branch with all UK Financial Services in which the Bank operates in the UK.
- Identify potential areas of compliance and money laundering vulnerability and risk.
- Develop/implement corrective action plan(s) for resolution of problematic issues and provide general guidance on how to mitigate and avoid the identified risks recurring.
- Planning and delivery of a financial services compliance risk training program.
- Review and analyse new UK legislation and regulation to assess the impact of the Bank and integrate relevant changes into the Branch, Bank, and Group policies
- Manage and monitor the compliance/AML related policies and maintain all registers and logs
- Represent the Bank with all external agencies, related to money laundering prevention, investigation or compliance concerning the Branch.
- Responsible for preparing and submitting the required Compliance regulatory returns, notices, and reports.
- Ensure all internal suspicious activity reports received by the Branch are investigated without delay.
- Hold a relevant professional qualification (law or accounting) or proven relevant financial services industry experience.
- Detailed working knowledge in the 2LoD in the Financial Services sector of at least 10 Years' PQE of FCA and PRA Rules, particularly about Banking (BCOBS) and Consumer Credit (CONC), and Corporate Lending.
- Detailed working knowledge in the 2LoD in the Financial Services sector of AML rules and associated guidance.
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Head of Compliance and MLRO - Basingstoke, Hampshire, United Kingdom - Asset Finance International
Description
Head of Compliance and MLRO - Basingstoke (Office Based)
{JLinkedShare} Written by Louise Clavey Published: 13 March 2024 Created: 13 March 2024
Our client is a fast-growing and prestigious lender based in Basingstoke who are looking for a Head of Compliance and MLRO to join their Team.
The successful candidate will be responsible for compliance and MLRO functions and managing a small Team.
Primary Responsibilities:
Knowledge, skills, and qualifications:
