Job Title:         Chief Compliance Officer & Money Laundering Reporting Officer (CCO & MLRO)-                                  (SMF 16/17)-UK

Industry:         Financial Services

Location:         United Kingdom 

Salary:             Competitive Salary Package + Benefits

Job Summary

The Chief Compliance Officer and Money Laundering Reporting Officer (CCO & MLRO) will be responsible for exercising oversight over the Firm’s compliance with applicable rules and guidance, including (in the capacity of MLRO) its compliance with the FCA's rules on systems and controls against money laundering. The Chief Compliance Officer & MLRO will report to the CRO and, where appropriate, directly to the Chairman of the BRC on issues of independence, conflicts of interest, risk management, compliance and disclosures.

Responsibilities:

• Ensuring appropriate compliance frameworks (including compliance monitoring plan) and policies are established.
• Reviewing the Firm's compliance with applicable laws and regulations including Anti Money Laundering (AML), Know Your Customer (KYC), Politically Exposed Person (PEP), Conduct of Business, Systems & Controls, etc. and ensuring best practices are adhered to.
• Ensuring the Board is informed of its legal and regulatory obligations.
• Ensuring robust compliance, including AML and Financial Crime policies and procedures, are in place and reviewing them periodically. Highlighting key risks to senior management
• Ensuring compliance in on Boarding and due diligence processes on customers and conducting periodic reviews to ensure regulatory changes are reflected.
• Maintaining the Firm's customer service standards, including conduct of business, complaints handling and monitoring and Treating Customers Fairly
• Providing independent approval of new products and services, financial promotions and marketing material.
• Managing operational compliance queries and advising on compliance of systems and controls
• Devising an annual compliance monitoring plan to identify, document and assess compliance risks associated with Lintel's activities.
• Engagement with the regulatory authorities

Qualifications

• Bachelor's degree or higher in Banking, Finance, Law, or a related field
• At least 10 years of experience in a senior compliance, anti-money laundering, and/or risk management role within a financial institution
• Excellent knowledge of relevant compliance, anti-money laundering, and risk management laws, rules, regulations, and industry best practices
• A deep understanding of the financial services sector and the types of risks faced by businesses operating in this sector.
• Demonstrated ability to perform detailed and complex risk assessments and to develop and implement effective risk management strategies.
• Excellent communication and interpersonal skills, with experience dealing with regulators and industry stakeholders.
• Sound judgement and decision-making skills, with the ability to work effectively under pressure and manage competing priorities.
• Certified Anti-Money Laundering Specialist (CAMS) or equivalent certification is highly desirable.
• Member of a Compliance or Risk Management Association and/or Qualified Lawyer is desirable but not essential.