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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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Compliance Manager

SAVE
£40000 - £65000 per annum


Compliance Generalist for Investment firm:

THE RESPONSIBILITIES:

• Support the Head of Compliance as and when required on specific activities and projects;

• Produce compliance reports and metris

• Manage all assurnace and monitoring activities

• To build relationships and work with each department on the compliance framework, policies and procedures

• Identifying, assessing and managing compliance risk within the business

• Ensure all compliance principles, policies and procedures are clearly defined and adhered to

• Through regular and appropriate business involvement ensure all compliance work is carried out to the required level of competence

• Build and maintain effective working relationships with the internal stakeholders

• Regularly review and keep up to date with changes in regulatory, legislative and market practices that impact the business;

EXPERIENCE REQUIRED:

• Solid compliance experience within the financial services industry and compliance.

• Proven experience of working in a multi-disciplined team across business units.

• Strong understanding of all regulations that impact the business

• Strong report writing skills. • A good attention to detail, adaptability, a keenness to learn and accurate keyboard skills.

• Ability to build relationships effectively, both in the immediate team and wider business.

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