Job Openings Compliance Manager

About the job Compliance Manager

Job Description

  • Manage the provision of ad hoc advice and guidance to the business and, where relevant, other compliance staff to enable the business to operate effectively in meeting its regulatory and legislative requirements
  • Ensure that those undertaking AML related CMPs are fully trained on how to undertake such reviews and to consider what learnings should be taken from reviews
  • To input into the training and policy areas so that the CMP learnings are built into our control environment and training and awareness programme
  • Manage and develop any direct reports including undertaking the appraisal and interim review process as defined by the firm
  • Provide training and mentoring to develop the team, and technical expertise and guidance on more complex queries
  • Continually liaise with the Senior Manager to ensure that they are aware of all aspects of the manager's responsibilities
  • Contribute to compliance team meetings, implement decisions taken and carry out any function/activity required
  • Assist with Compliance-related processes for new members of staff including conducting Compliance inductions
  • Assist the Money Laundering Reporting Officer in investigation of internal SARs
  • Carry out any compliance-related function/activity as required by the Heads of Departments or Partners/Directors from time to time


If desireable and dependent on experience, the compliance manager can have MLCO responsibilities as follows:

  • monitoring compliance with, and testing the effectiveness of, policies and procedures
  • monitoring and testing the effectiveness of measures to raise awareness and training

Qualifications

  • Educated to A level standard or equivalent
  • ICA or other relevant compliance qualification to diploma level or above

Knowledge/skills/experience

  • A strong awareness and understanding of local regulatory requirements, and a good technical knowledge of AML
  • A minimum of 5 years' compliance experience
  • Previous experience in a similar role and preferably within a legal environment
  • Strong IT skills