Head of Compliance / Compliance Manager - Fund Services
Key Responsibilities
Act as the designated Money Laundering Reporting Officer (MLRO) and Compliance Officer for the business and its managed fund structures, ensuring adherence to all relevant regulatory and financial crime obligations.
- Review and assess internal suspicious activity reports escalated by business teams, conducting appropriate investigations and determining required actions.
- Establish and maintain robust business and client risk assessment frameworks, ensuring they remain suitable for each fund and underlying activity.
- Design, implement, and periodically enhance compliance monitoring and control programmes across client entities and fund structures.
- Oversee the execution of compliance testing and monitoring activities, ensuring reviews are completed efficiently and within agreed timelines.
- Partner closely with regional and global Compliance and Financial Crime teams to strengthen governance frameworks and promote best practices.
- Produce regular compliance and risk reporting for local senior management and governance committees.
- Provide oversight and guidance on higher-risk clients, transactions, business activities, and relationships, including politically exposed persons (PEPs) and complex AML/CFT matters.
- Lead interactions with regulatory authorities, including responding to information requests, surveys, inspections, and supervisory reviews.
- Maintain and update compliance policies, procedures, and operating guidelines applicable to funds and associated entities.
- Support firm-wide regulatory and compliance initiatives, ensuring local implementation aligns with broader business objectives.
- Serve as the primary contact for regulators on compliance, governance, and financial crime-related matters.
- 6 to 10 years of experience within compliance, financial crime, risk management, or a related regulatory function.
- Strong understanding of regulatory obligations applicable to investment funds, fund administration, trust, or financial services environments.
- Demonstrated experience assessing and mitigating financial crime risks, including AML, sanctions, and anti-terrorist financing considerations.
EA R1981013
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