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nior Compliance Manager - CDD/EDD

Closing date
13 Dec 2021

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Contract Type
Full Time
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Job Title Senior Compliance Manager - CDD/EDD
Location Lancashire
Salary £62,000 - £65,000 p.a.

A leading wealth management organization is currently seeking a Senior Compliance Manager to join their operations in Lancashire. The purpose of the role will be to manage the U.K. compliance team and be the principal point of contact for all CDD matters, providing MI to management committees related to financial crime.

Key responsibilities include:

- Oversight of new accounts to assess the AML risk factors associated with the relationship and to ensure that the necessary CDD and EDD documents are obtained.
- Oversight of CDD and EDD documentation to ensure that all regulatory requirements are met whilst taking a risk-based approach to ensure effective management of processes.
- Review of high-risk accounts and ongoing assessment of CDD/EDD to always ensure appropriateness of content.
- Oversee electronic verification searches on individuals and companies to identify possible PEPs, and any other red flags as required.
- Refer to the MLRO any non-compliance with the CDD requirements and agree appropriate action.
- Assist with the review of third-party payments including making requests for CDD documentation, and rejecting, approving, or escalating, as necessary.
- Refer accounts for Compliance/Senior Management - approval in accordance with policy
- Oversight of the initial and continuous screening of all clients and persons connected to accounts.
- Provide statistical data for management reporting
- Contribute to the periodic review pf relevant departmental policies and procedures as required
- Contribute to ad hoc projects relating to CDD/EDD
- Receive information from the DMLRO regarding regulatory changes and apply such changes to working practices.
- Ensure that new members of the team are trained to follow the CDD procedures and to maintain high standards.
- Any other AML related duties

The successful candidate will have:

- Background in a senior compliance role with responsibility for financial crime oversight
- Strong knowledge of FCA rules relating to AML and JMLSG
- Excellent communication, people management and organisational skills

This is a fantastic opportunity to join a leading brand in the wealth management industry with excellent long term career opportunities.
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