Job Purpose

This job involves leading the Compliance and Risk Team to provide an efficient service to the Firm, by displaying a high level of technical knowledge and managerial expertise.  You will promote a culture which fosters engaged and positive people by ensuring the team works in an effective and well-motivated manner, maintaining a good level of team spirit and staff morale.

You will display excellent communication with clients, Directors, team members, other colleagues and professionals at all times.

In partnership with People & Culture and Learning & Development, you will competently manage staff performance through the PAD process, set clear aims and objectives, coach and monitor their progress on a regular basis to ensure that team members develop to the required standard set out in the competency framework and financial and chargeable time budgets are adhered to.

Objectives

  • Assist the Compliance and Risk Director in developing, administering and monitoring internal policies and procedures to ensure compliance with applicable legislation, regulation and licence requirements.
  • Monitor and control the AML/CFT and Admin Review Programme, utilising available resources within the team to provide an efficient service to the rest of the office.
  • Display a sound knowledge of all office policies and procedures and bring any anomalies, problems or necessary updates to the attention of the Compliance and Risk Director.
  • Act as Nominated Officer whenever necessary in the absence of the MLRO.
  • Maintain a good team spirit and staff morale, providing help and support to team members as necessary.
  • Set clear aims and objectives for yourself and your staff in consultation with the Compliance and Risk Director and establish an effective method of monitoring progress, providing the Compliance and Risk Director with feedback. Reset objectives as necessary in consultation with the Compliance and Risk Director.

Main Duties (not limited to)

  • Assess the risk ratings and risk criteria that should be in operation within the firm, reviewing from time to time against GFSC and other relevant requirements.
  • Maintaining all Compliance related Registers.
  • Ensure the information required to complete the risk profiling spreadsheet is kept up to date and meets current standards.
  • Regularly assess country risk profiles, checking with external and internal data sources to ensure we have up to date information.
  • In relation to the risk based monitoring programme, collate information received from Reviewers, ensuring that remedial action points arising from the reviews are accurately categorised under our RAG system. Maintain spreadsheets which provide Team Managers with current information on the review programme, keeping track of all outstanding issues and providing advice on rectification. Alert the Compliance and Risk Director to any particular problems or concerns as necessary and provide recommendations to improve procedures/controls as appropriate. Provide a quarterly report for the Board of Directors.
  • Maintain Breaches Registers for all breaches other than those under our POI licences. Monitor progress towards resolution of those breaches and provide advice on rectification. Alert the Compliance and Risk Director to any repeated breaches and recommend appropriate action. Provide a quarterly report for the Board of Directors.
  • Monitor and collate information from the new client review, cold review and spot-check programmes, bringing any particular concerns to the attention of the Compliance and Risk Director.

If you would like to find out more, please send your latest CV to Chris Costi at ChrisC@AgreusGroup.com or call on 02070431408 for a confidential discussion.

Thank you.

REF: AGR2888