Compliance Officer - Private Office - Meraki Talent Limited : Job Details

• London West End
• Progression Scope
• Broad role

Meraki Talent are currently working with a leading investment firm (private office) to help them identify a Compliance Officer.Some of your duties will include:

• Maintain and implement a robust compliance framework, policies, and procedures in accordance with relevant regulatory requirements, industry best practices, and internal guidelines.
• Assist with the day-to-day compliance operations, including monitoring, surveillance, and reporting on compliance risks, incidents, and breaches.
• Assist the Money Laundering Reporting Officer (MLRO), ensuring effective implementation of anti-money laundering and counter-terrorism financing (AML/CTF) measures.
• Assist with the conduct of risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses.
• Stay up-to-date with regulatory developments, industry trends, and emerging risks to ensure timely implementation of necessary changes and enhancements to the compliance program.
• Provide wider team with advice and guidance on compliance-related matters.
• Collaborate with various internal departments, such as legal, operations, risk management, and IT, to ensure compliance considerations are integrated into business processes, products, and services.
• Establish and maintain effective relationships with external regulatory bodies, industry associations, and other relevant stakeholders.
• Ensure that client files are maintained in accordance with Company policies, take compliance ownership of the accounts and lead/run file reviews for all accounts alongside the Company’s compliance department;
• Review sales and marketing documentation to ensure it is line with financial promotion rules;
• Assist with the review the onboarding of all new clients;
• To work as part of a team to deliver the highest level of service;
• Take ownership and show initiative for your own development;
• Comply with all lawful decisions and directions of the Management Team and the Board; and
• Ensure that you conduct your affairs with fidelity and with the highest standards of ethics and integrity.

We are looking for:

• Extensive experience in a senior compliance role within an FCA-regulated environment, ideally in the wealth management and investment management sectors.
• Thorough understanding of AML, KYC, and financial regulatory frameworks.
• Demonstrated leadership skills with the ability to steer and develop a high-performing team.
• Excellent analytical, organisational, and communication skills.
• Proficiency in compliance software and technology platforms.
• The successful candidate will be degree educated and must have gained a minimum of seven years of investment management FCA compliance experience, with a good knowledge of relevant UK and EU rules and regulations (including (MIFID, UCITS, AIFMD). Previous MLRO experience is useful but more important is good product knowledge (Equities, FI & FX) as well as a “sleeves rolled up approach”, willing to learn new material, taking responsibility and getting involved in the details of compliance issues