Compliance Director

Location
England / Scotland
Salary
GBP90000.00 - GBP120000.00 per annum
Posted
08 Aug 2022
Closes
15 Aug 2022
Ref
4263546
Contact
Jayh Karia
Where will they be working?
Hybrid - mostly home
Hours
Full Time

Compliance Director Job at Property Investment Company


An exciting property investment company based in Edinburgh has a great opportunity to join as a compliance director, reporting directly to the CEO. SMF 16 and 17 experience a priority.


* At this important juncture of the company, every member of our team needs to have a strong sense of responsibility and accountability.
The responsibilities are both strategic and operational, eared towards critical growth of the company as they expand.

* This job will be for a number one in the Compliance Team, and allows for excellent and unparalleled career progression

- Operational activities:
* Leading on financial crime and compliance, as well as providing guidance to staff members and senior stakeholders;
* Proactively identifying situations that may pose significant compliance risks and guide management in the development/review of applicable policies, procedures and business practices;
* Supervising and monitoring business risks in accordance with regulatory requirements and internal procedures
* Preparing reports for regulators and maintaining an open and positive working relationship with them;
* Keeping abreast of regulatory developments (both internally and externally) as well as evolving best practices. * Provide monthly financial crime and compliance reports.
* Ensure all platform transactions are completed efficiently and correctly.
* Ensure due diligence on partners and vendors is complete and up to date.
* Run the risk committee
* Ensuring the firm complies with all regulatory requirements, policies and standards.
* Maintaining current knowledge of regulations and laws, keeping up to date on any changes and advising the board on any changes made;
* Providing guidance to the board of directors, senior management and employees on compliance;
* Overseeing and monitoring the implementation of the compliance program; * Developing policies and programs that encourage managers and employees to report suspected fraud and other improprieties without fear of retaliation;
* Developing and overseeing control systems to prevent or deal with violations of legal guidelines and internal policies;
* Providing financial crime and compliance leadership and guidance to management and relevant staff;
* Proactively identifying situations that may pose significant compliance risks and guide management in the development/review of applicable policies, procedures and business practices;
* Preparing reports for regulators and maintaining an open and positive working relationship with them; * Ensure all platform transactions are completed efficiently and correctly.
* Ensure KYC and AML files on individuals and institutions are properly maintained.
* Updating and improving various compliance policies and registers on an ongoing basis.
* Ensuring the firm complies with all regulatory requirements, policies and standards.

Strategic Objectives:
* Assist in ensuring a culture of compliance & good conduct is communicated throughout the Firm
* Assist in creating scalable compliance procedures and practices that will allow effective growth within the company.
* Building a compliance division within the company.
* Assist in various development projects to ensure that they remain compliant in line with our permissions.
* Assist in identifying and applying for future permissions from the FCA.
* Assist in building the compliance procedures for the SEC. Requirements and Desirables:
* Proactive approach to problems and presenting solutions
* Strong interpersonal skills
* Experience in dealing with retail clients
* Knowledge of AIFMD
* Knowledge of property investment and/or funds
* Experience of completing the SMF 16/17 function at a directly authorised firm.
* Experience of ICO DPA / GDPR regulations as well as a strong working knowledge of relevant FCA sourcebooks (MCOB, ICOB, DISP, SYSC etc.).
* Experience in Financial Crime and Fraud Prevention activities

Benefits:
* Competitive Salary
* Flexible working hours and remote working opportunities
* Private Healthcare
* Free State of Mind Coaching
* Apple Technology
* Commitment to your Professional Learning and Development
* Ability to shape the direction of the business
* Excellent career advancement opportunities


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