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Financial Security Compliance Officer

£45000 - £50000 per annum + Bonus + benefits

The role:

The Financial Security Compliance Officer role will form part of the UK Compliance Department and will report directly to the Head of Financial Security Compliance. However, the Financial Security Compliance Officer will have his/her day to day work allocated to them and checked by the Senior Financial Security Compliance Officer who will also report to the Head of Financial Security Compliance.

Key Deliverables:

  • Support the Senior Financial Security Compliance Officer and the Head of Financial Security in providing guidance, advice and challenge to the Business on the application of Compliance Policies, Procedures and processes in relation to Money Laundering and Terrorism Financing, Sanctions and Embargoes matters.
  • Support the Senior Financial Security Compliance Officer in providing a prompt and complete response in relation to all enquiries that come into the UK Compliance email inbox as well as telephone or face to face enquiries These enquiries will in particular relate to Client Acceptance Committee (CAC) forms, PEP escalations and Major Sanctioned Country alerts as well as customer and transaction screening alerts.
  • Provide the Business with guidance, advice and challenge around estate agency specific transactions and KYC issues, in particular where they involve joint agents, sub agents, intermediaries and partners.
  • Provide the Business with guidance and advice in relation to all relevant rules and regulations, including but not limited to the UK Money Laundering Regulations, HMRC Guidance, RICS rules and regulations, the Estate Agents Act 1979 and Consumer Protection from Unfair Trading Regulations 2008.
  • To apply a robust risk based approach when assessing CAC forms in order to arrive at a recommendation.

Person Specification:

  • Previous experience working in a KYC/Customer on-boarding team within both the Real Estate and Banking sectors.
  • Proven track-record of applying a risk based approach towards all customer enquiries and issues.
  • Proven track-record and knowledge of analysing different Real Estate customer and transaction types, in particular in relation to Legal entities, Wealth structures and Special Purpose Vehicles.
  • Proven track record of analysing, clearing, and when required escalating, customer and transaction monitoring alerts.
  • Ability to provide advice and guidance to the Business in terms of the application of KYC rules and requirements.
  • Proven experience of Real Estate / KYC analysis.
  • Strong knowledge of all estate agency business rules and regulations, including but not limited to the UK Money Laundering Regulations, HMRC Guidance, RICS rules and regulations, the Estate Agents Act 1979 and Consumer Protection from Unfair Trading Regulations 2008.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

 

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Senior Associate - Compliance

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Management Consultancy, providing support to fund managers, investors and other specialists in the asset management industries managing and advising more than $1Trn of assets. The firm has expertise in all traditional and alternative asset classes, including equities and bonds, private equity, venture capital, hedge funds, real estate, infrastructure, energy, and credit.

Opportunity
Due to growth of the business we are looking to recruit a dedicated person to provide compliance advice to our base of investment clients. The individual would work under the Partner and would form direct working relationships with our clients and would be the first point of call for all relevant compliance queries. The individual may also be asked to provide compliance advice to our internal business. The individual would also be involved in designing technology solutions with our development team for common compliance issues.

Responsibilities

  • Answering compliance queries and providing robust written and/or verbal answers
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  • Acting as a compliance business partner to the AIFM team
  • Compliance advice on new fund launches
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  • Advising on the production of internal “know-how” to assist the wider team
  • Researching new regulations and advising the clients on their impact
  • Policy writing
  • Provision of training


Experience
We would expect that candidates will have:

  • Demonstrable ability to analyse and interpret complex regulations and provide detailed compliance advice - gained within a regulatory consultancy or in-house compliance advisory role
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Knowledge, skills and abilities:

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McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.