Compliance and MLRO Officer (Investments)

Summary: We are a firm that supports working mums and have a few that we employ. This role is designed to allow for flexibility (working from home) and hours (the role is likely 2-3 days a week, but can be more for the right candidate). We will pay £70,000 a year full-time equivalent; therefore, if you worked 3 days a week, you could simply multiply the full-time equivalent salary by 3/5. We have marked the role as part-time and full-time. The reason that this may seem confusing is that we will treat you like a full-time employee even though you may not be. For example, we hope to integrate you, offer you equivalent benefits and offer you good long-term prospects. You will be an important member of the team of 11.

The Compliance and MLRO Officer will be working directly with the London-based investment team and executive, providing investment Compliance and anti money laundering functions. There will be a handover period with the current Compliance and MLRO officer, but the hope is that you will become SMF16 and SMF17 for the firm after the handover. The role requires an excellent understanding of the FCA Compliance and MLRO regulations.

The role is diverse and suited to an organised and process-driven candidate who has an interest in the investment industry.

As mentioned, you will need strong compliance monitoring experience, using a risk based approach to compliance. You will also need a good background and knowledge monitoring financial crime and anti money laundering. It would help if you have a background specifically with model portfolio compliance, dealing with professional clients.

Key attributes will be: working closing with executives, having a process oriented mindset, eye for detail, desire to be accurate and feel satisfied when the job is well done, organised, good spreadsheeting (Excel), good with clients and colleagues (both verbal and written skills), reliable (on time), self starter, and can work to deadlines.

There are also good prospects, but no pressure will exist to work longer hours, we appreciate that you have other priorities too. We should also mention that we have already employed people via this website and have had excellent results.

Please do let us know if you are interested and if you have time, feel free to send us a covering note and tell us a bit more about yourself.

What will you be doing?  Although not exhaustive, we believe the main role will involve:

Designing and running the full Compliance and MLRO programmes; being responsible for interacting with key stakeholders: FCA, executives, colleagues, clients; training of staff; updating various policies to ensure they are compliant; monitoring changes in FCA regulation; advising the executive on any compliance issues; signing off all relevant information, like marketing/client comms; submitting all FCA returns; working with external compliance support, where necessary.

Fundhouse is an award-winning investment company based in London providing independent investment insights and services to institutional investors, wealth managers and independent financial advisers. We have two legal entities, the one providing unregulated activities. The entity that will need your Compliance and MLRO support is Fundhouse Bespoke Limited, which is regulated by the FCA. Fundhouse Bespoke Limited deals with professional clients only and is one of the major industry providers of model portfolios to independent financial advisers.

More detail on the role:

Reports to: the CEO.

Location: Work from home, with the odd date in London if needed.

Start Date: We can be flexible.

Key skills: As above.

Experience: We are looking for someone who has prior experience, given the importance of the role.

Permanent/Contract: Permanent.