Senior Compliance Manager & Deputy MLRO

This role is for a highly experienced knowledgeable and technically proficient Compliance professional to strengthen the UK Compliance function. The individual will ensure continuity in critical regulatory responsibilities and support all aspects of the compliance and AML function in the UK. They will report into the Head of Compliance and MLRO in the UK while also working in close collaboration with the compliance team in Luxembourg (European Hub).

Manage compliance issues within the UK Branch of Mirabaud & Co Europe (MCEU) including compliance monitoring risk to regulated entities training requirements and monitoring new regulatory developments assessing the impact of the UK Branch and informing the local management committee as well as appraising the Luxembourg team where needed of any wider reaching impacts;

Ensure timely completion of the UK monitoring plan. This will include regular assessment and revision of the plan itself to keep ongoing activities focused and -ordination with Luxembourg on their activity to eliminate duplication while reviewing MI and overseeing their controls of the UK branch and meet both UK (FCA) and Luxembourg (CSSF) expectations and obligations;

Apply detailed knowledge of the AML regime in both UK and EU to adequately target risk in the account opening process and transaction monitoring;

Review and manage various compliance responsibilities including designing and implementing internal controls while assessing policies and procedures to assure compliance with applicable laws and regulations;

Act as deputy Money-Laundering Reporting Officer (MLRO) for the UK Branch of the MCEU. This will require review and approval of HR and complex new client relationships;

Work with the MLRO as the focal point for receipt and assessment of internal suspicion reports; assessing and making disclosures to and acting as liaison with the authorities where needed for all aspect of notifiable correspondence. Work on SARS and regulatory reporting. Follow up with internal and group reports;

Work with Head of Compliance to develop an internal control system to ensure adherence to legal and prudential standards in particular concerning market rules and investor protection in a UK;

Ensure the embedding of Consumer duty is monitoried and reviewed to amend and develop as the MI provides data on GAPs and required changes;

Be aware of obligations in preventing Mirabaud being used to further financial crime in particular money laundering terrorist financing bribery and corruption and market abuse and to report any suspicions or suspicious activity where market abuse is suspected;

Working closely with the Head of Compliance in the UK to understand the relationship with the UK regulated authorities and all the aspects need to develop the relationship;

Design and deliver some regulatory training and assess the SMCR regime and application in the UK Branch;

Compile reports for the HoC & MLRO to report to the governing bodies of the regulated entities in respect of compliance regulatory risk issues;

Regulatory change: responsible for monitoring any regulatory changes that may impact the business advising the executive and governing bodies and developing strategy and / or forming appropriate committees / working groups to ensure the business remains compliant at all times.

Qualifications :

• Extensive knowledge of both the UK and EU financial services regulatory regimes. Understanding of Lux requirements would be beneficial.
• Thorough understanding of AML and CTF regulation and its application across the UK and how it works in the EU.
• Knowledge of regulatory regimes in Switzerland also beneficial.

Additional Information :

Step into the action!

• Family-friendly and dynamic environment;
• Direct impact on the business no matter your position or seniority;
• Work in an environment that encourages autonomy and entrepreneurship;
• Flexible working arrangements to help you achieve a better work-life balance;
• Variety of cultural and sporting activities during your free time;
• Inclusion and equal treatment;
• Various employee benefits & family friendly benefits.

Remote Work :

No

Employment Type :

Full-time