
Regulatory Compliance Specialist
2 days ago
This role is critical in maintaining a robust compliance framework to mitigate regulatory risk.
The ideal candidate will have experience working within a regulated environment, specifically with MiFID, AML, and GDPR requirements.
- Ensure the implementation and maintenance of compliance policies and procedures.
- Conduct annual risk-based compliance assessments and monitoring plans.
- Oversee regulatory reporting to relevant authorities.
- Develop and deliver compliance training programs for employees.
- Monitor and report conflicts of interest.
- Report directly to the Head of Compliance on compliance matters.
- Review and update the Anti-Money Laundering Policy and supporting procedures.
- Implement anti-money laundering and PEP checks on clients and entities carrying out contractual activities.
- Conduct annual risk assessments of money laundering risk.
- Deliver adequate money laundering, PEP, and Sanction training within the organization.
- Maintain horizon scanning for regulatory changes connected with anti-money laundering regulations.
- Investigate suspicious transactions made to the MLRO and ensure necessary reports are filed with relevant agencies.
- Provide consultancy services on AML, PEP, and Sanctions to employees.
- Analyse and present financial crime risk management information to senior stakeholders.
- In-depth knowledge of the European financial services and regulatory framework.
- 5-10 years' experience in a senior role within a regulated environment.
- Working knowledge of operational processes within MiFID or fund administrator firms.
- Excellent communication, relationship management, and influencing skills.
- Presentation skills and training/coaching experience.
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