Compliance Officer / AML Monitoring Officer

  • £50k per annum
  • London, England, United Kingdom
  • Permanent, Full time
  • Sun Global Investments Limited
  • 28 Sep 17 2017-09-28

Job Description Sun Global Investments Limited is an idea-centric wealth and investment management firm for Professional Investors, covering emerging and developed markets. Active in Wealth Management, Investment Advisory, Securities Trading and Corporate Finance.

THE RESPONSIBILITIES:

  • Accountable to the PRA / FCA for the delivery of the firm's regulatory compliance and financial crime obligations by holding the Controlled Functions CF10 Compliance Oversight, CF11 Money Laundering Reporting Officer
  • File compliance regulatory and company returns within set deadlines
  • Validate and approve KYC documentation relating to account opening and payments
  • Development of an appropriate, risk based, compliance framework
  • Provide timely, accurate, and relevant regulatory advice to the business
  • Responsible for the firm's compliance with the FCA and PRA rules on systems and controls, CASS Oversight
  • Providing administrative support to the outsourced internal audit service, arranging management responses and monitoring follow-up and remedial action
  • Maintain and execute the Compliance Monitoring Program to include periodic tests of the effectiveness of firm policies
  • Providing compliance and Money Laundering training for all staff and management
  • Serve as the firm's key point of contact with the PRA and FCA including all authorisation and breach reporting matters
  • Undertaking ad-hoc projects as required.

EXPERIENCE REQUIRED:

  • Experienced as a CF10/CF11/CF10A/CF28
  • Experience on the Wealth Management/ Securities Trading
  • Good knowledge of FCA, PRA and any other applicable rules relating to Financial services
  • Extensive executive leadership skills, strategic skills and long-standing senior management experience
  • Strong corporate governance skills
  • High level interpersonal and persuasion skills, including the ability to work within a team