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Compliance Officer/MLRO - Asset Management

Closing date
22 May 2021

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Contract Type
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Job Details

The main purpose and duties of the role will be as follows:
  • Provide advice and guidance on all regulatory obligations and requirements, specifically CASS/client money regulations
  • Ensure that the firm's compliance manual, financial crime and AML policies are kept under continual review and up-to-date
  • Develop AML systems and reporting so that transactions are monitored
  • Act as final sign off on any escalated KYC/AML/PEP checks
  • Act as a key member of the firm's Risk, BCP and Client Onboarding Committees
  • Provide Financial Crime education, awareness and training to staff and handling related staff queries
  • Liaise with regulators and compliance third parties

Profile of the ideal applicant

Previous experience as a compliance officer and/or MLRO in the alternative investment industry and in-depth CASS knowledge would be a bonus.
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