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Compliance Officer


Working within a growing professional firm the main purpose of the Compliance Officer is to ensure that the firm  fulfils its obligations as outlined under the Prevention of Money Laundering and Funding of Terrorism Regulations (PMLFTR)

Function

  • To Plan, develop, implement, and monitor the firms AML Compliance Policy to ensure compliance with applicable regulations.
  • To Develop and maintain a risk assessment framework for products and services, and Clients, and other issues relating to money laundering.
  • To Ensure compliance with current AML/CFT regulations, and other relevant legislation
  • To Monitor and review operational areas to identify, investigate, and address potential risks, non-compliance issues, and suspicious activity related to AML requirements.
  • To Process and ensure accuracy of related forms and filings completed by the Corporate Department in relation to the On-Boarding of New Clients, and by all other departments in relations to on-going client relations and activities.
  • Brief and report to senior management on matters relating to internal AML/CFT compliance policies and procedures.
  • Oversee and implement an ongoing AML/CFT training programme for all  employees.
  • Ensure timely and accurate submission of required reports to the Financial Intelligence and Analysis Unit (FIAU).
  • Maintain current knowledge of relevant regulatory requirements and assess any changes, and to recommend strategies to maintain regulatory compliance.
  • Perform Customer Due Diligence and Enhanced Due Diligence reviews.
  • Respond to and draft written responses to internal and external AML related audits and examinations as required the Money Laundering Reporting Officer (MLRO)
  • Perform tasks in full compliance with departmental Internal Controls, policies, procedures, and regulations.

m)  Perform other duties as assigned by the MLRO

It is envisaged that to carry out the above function experience within a compliance role is essential as is the  ability to work on one’s own initiative.  In return the firm is offering a highly competitive salary and continued career progression

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