Rutherford Briant are recruiting for a Compliance Officer in Chelmsford. This is a newly created role with a client that has seen much growth over recent years and has significant plans of growth through new investment. This is an exciting time to join this business which offers great exposure and prospects of progression and development. As the Compliance Officer you will be responsible for the delivery of compliance services for the UK business, reporting to the Senior Compliance Officer. You will be required to act as Compliance Officer, Deputy Money Laundering Reporting Officer (DMLRO) and provide additional support where required with the global Governance Services team.
• Assist the Senior Compliance Officer to ensure that the business continues to comply with regulatory compliance requirements
• Maintain appropriate written procedures to ensure compliance with applicable legislation, regulations and group policies, and monitor adherence to such procedures
• Act as the Deputy MLRO. Ensure compliance with Anti-Money Laundering and Counter Terrorist Financing regulations. Take receipt of and investigate internal suspicious activity reports and, as appropriate, make the necessary external reports
• Assist in the creation and the execution of the Compliance Monitoring Plan
• Assist with training and awareness for the Business Unit
• Ensure that reporting is filed in good time with the relevant regulators
• Ensure that compliance registers are maintained within the firms’ appetites and regulatory restraints
• Provide regulatory support to the business and clients, as and when directed
The ideal candidate;
• Degree level qualification, or equivalent, ideally in business, finance, law or compliance and risk management.
• Three to five years’ relevant work experience; ideally in compliance and/or risk management for a professional or financial services business.