This role has broad compliance responsibilities supporting the lead directors of Risk & Compliance and Professional Standards and the MLRO, assisting on money laundering policy and approvals, having primary responsibility for retention of Lexcel/CQS/ISO9001 & 27001 accreditations, leading any further accreditation applications, overseeing all data protection operations and undertaking a range of regulatory compliance tasks, escalating any matters of concern to COLP or COFA that could lead to risk or liability for the Company.
This role involves but is not limited to:
* SRA. Assisting with investigations concerning matters raised by SRA.
* AML. Contributing to the policy to ensure it remains up to date and reflecting practice, and from time to time deputising for MLRO on covering CDD, SOF and suspicious activity referrals.
* Data Protection. Taking on the role of DPO, leading liaison with ICO, supervising staff who deal with DSARs, keeping data protection policies and procedures up to date.
* Accreditations. Ensuring that the Company remains a Lexcel, CQS and ISO 9001/27001 accredited organisation; appropriately liaising with stakeholders and coordinating activity across the Company to do so; undertaking assessments with external assessors.
* Policies and procedures. Regularly reviewing and liaising with document owners to ensure the Company’s policies, procedures, systems and work practices stay up to date and meet the requirements of law, regulation, professional standards and best practice.
* Manuals. Maintaining the quality and information security manuals for ISO accreditations.
* Practising Certificate renewal. Coordinating the annual renewal process.
* Special projects. Assisting directors with special compliance projects that arise from time to time.
* Advise. Appropriately advises the COLP, COFA and the board of directors, as necessary, of matters or risk requiring corrective action in relation to the accreditation process.
* Training. Liaising with HR to ensure all relevant training information is available for the accreditation process (the induction compliance training for new personnel and administering
We can offer this role working hybrid either from Peterborough or our central London office. There will be travel required. If you are open to a conversation, please contact Jenny Tod on 01733 303495.