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Compliance officer (with Corporate Secretary responsibilities)

Date Posted: 15-Dec-2017
Closing Date: 15-Jan-2018
Location: London, London
Salary: Minimum - £30,000.00, Maximum - £40,000.00 per Annum
OTE: £ salary negotiable upon experience
ABOUT WHITECLIFF MANAGEMENT CORPORATION LIMITED
We are a progressive investment and wealth management firm located in London with affiliated offices in the EU, Middle East and CIS (the “Group”). Our firm provides a variety of services including corporate, tax and restructuring consultancy, M&As and company management support.
JOB DESCRIPTION
The Compliance Officer is required to provide support and assistance to the Legal, HR and Financial team and other members of the firm and the Group in relation to client inception, anti-money laundering, anti-bribery and corruption, risk and compliance matters. As Corporate Secretary your focus of work is covering all aspects of corporate governance and company secretarial matters. You will be required to ensure all statutory obligations are met and maintained to high standard of corporate governance.

OBJECTIVES
Compliance Officer Responsibilities

• Monitoring new client and new matter openings to ensure that all necessary information and AML documentation is supplied, including reviewing initial risk assessments and PEP status, filling out and checking the KYC documents in relation to new client and matter inception.
• Identifying potential high risk clients and using the firm's due diligence information providers to raise any concerns (including reputational risk) regarding any whom may be on a government financial sanctions list within the UK or worldwide.
• Creating, monitoring and regularly updating the AML, KYC, client registers.
• Working closely with fee earners to advise them on client due diligence requirements and the Crime Financial Act 2017, Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 or any other associated legislation.
• Proactively make recommendations on developing and assessing corporate compliance programs, training, adherence and effectiveness for the Group.
• Guiding and familiarising fee earners in relation to the legislation and regulations.
• Ensure that compliance issues/concerns within the organisation are being investigated and resolved.
• Maintain current knowledge of laws and regulations as well as any relevant updates.
• Respond to government investigations and queries as the principal point of contact
• Reviewing any unapproved funds received into client accounts with the Financial Team of the Firm.

Corporate Secretary Responsibilities:
• Maintain the statutory records for the Group companies, including: registers of members, directors, secretaries and PSCs; and submit appropriate, accurate filings to Companies House in a timely manner.
• Ensure the timely and accurate preparation and filing with Companies House of the UK subsidiary company statutory reports and accounts.
• Ensure the timely and accurate preparation and filing with Companies House of the UK subsidiary company statutory reports and accounts.
• To assist the Legal and Financial team to oversee the Group's governance framework, policies and procedures to ensure compliance with statutory and company requirements.
• To monitor changes in relevant UK legislation and in the regulatory environment and to take appropriate actions.

EXPERIENCE
• Bachelor’s degree is a must.
• Relevant 2-3 years’ work experience in compliance in an equivalent or similar role covering equivalent or similar activities within a regulated environment.
• Relevant 2-3 years’ work experience as a corporate secretary.
• Good understanding of the Money Laundering, Anti-Bribery and Corruption, Financial Crimes, Terrorist Financing regulations and associated legislation.
• Excellent IT Skills and Microsoft Office literacy.
• Excellent ability to research online using due diligence tools.
• Excellent communication skills, both written and verbal.
• Interpersonal and multi-tasking skills.
• Strong attention to detail.
• Team player but at the same time ability to work with minimal supervision.
• Knowledge of Russian language is desirable.

JOB TYPE
Permanent





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