Director of Compliance & MLRO- SMF16 &17 - Broadgate Search Ltd : Job Details

Director of Compliance & MLRO SMF16&17 – Asset Management�? Flexible- Remote/ Hybrid but access needed to Head of Office based in the South Managing a team of 6, whilst ensuring that the Group achieves operational adherence to regulatory requirements and expectations.

• Formulate the firm’s compliance strategy based on government legislation and the FCA’s rules and guidance on best practice, manage the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures.
• Maintain an effective consultancy, monitoring and advisory Compliance resource for the Group.
• Assist the Board in the achievement of Regulatory Priorities in relation to Conduct Risk and Consumer Duty.
• Produce, agree, implement, supervise and review strategic and business plans for the Compliance function, including the Compliance
• Monitoring Plan, in order to contribute to the overall compliant operations of the  Group.
• Attend Group Management and Board meetings as required.
• Undertake Money Laundering Reporting Officer responsibilities. Report as necessary to Board/senior management on money laundering matters and ensure that appropriate anti-money laundering procedures, controls and risk appetite are in place across the Group.
• To maintain visibility of the broader spectrum of financial crime risks (e.g. fraud, bribery); to take action where appropriate to mitigate those risks, and to report/escalate accordingly through line/senior management.
• Provide guidance and training to other members of Compliance and Group staff, where required.

?? If you are interested to find out more and have experience of working in an Asset/Fund Management environment at an SMF level, get in touch with Matt Carter