compliance officer
Requirements
- circulate regulatory development registers to the Directors and senior management
- at least 4 years relevant work experience in Compliance
- strong working knowledge of the UK Funds Industry regulatory framework
Show more +18 - provide advice to the Directors on the regulatory implications of new business areas and new products
- duties and Responsibilities
- well organized with the ability to work autonomously and deal with busy workload
- contribute to the oversight of the administration and transfer agency delegates
- oversee licensing requirements and regulatory obligations
- self-motivated, mature and able to use initiative with a strong hands-on approach
- assume the role of MLRO
- A discreet and confidential manner with confidence, persuasiveness and the ability to motivate colleagues
- assume the role of Data Specialist and provide guidance on Maitland’s data privacy programme
- monitor suspicious transactions and provide reporting and escalations as required
- good clear and concise written and verbal skills
- actively manage the mitigation of data breaches in accordance with Maitland’s data breach process
- consider the political exposure of potential clients and act appropriately
- the ability to communicate with staff at all levels of the business
- skills and Competencies
- ensure the effective implementation of the Compliance Monitoring programme and undertake all aspects of monitoring activities
- track non-compliant findings with respective business unit function managers until resolved
- actively manage the mitigation of compliance breaches
Salary in other companies in the position compliance officer
| STEP AHEAD RECRUITMENT | 25000 £ | 7000 £ 25000 £ |
| TWENTY84 | 12083 £ | 7000 £ 25000 £ |
| TRUST IN SODA | 10000 £ | 7000 £ 25000 £ |
| KENNEDY PEARCE CONSULTING | 10000 £ | 7000 £ 25000 £ |
| CLEARWATER PEOPLE SOLUTIONS | 9000 £ | 7000 £ 25000 £ |
| EHSAAN CARE SERVICE | 9000 £ | 7000 £ 25000 £ |
| EAMES CONSULTING | 8042 £ | 7000 £ 25000 £ |
| SANCTUARY HEALTH | 8000 £ | 7000 £ 25000 £ |
| CARNEGIE CONSULTING | 7500 £ | 7000 £ 25000 £ |
| ALLEN LANE | 7000 £ | 7000 £ 25000 £ |