Direct message the job poster from Omnium Investment PlatformChief Operating Officer and Head of Client Asset Oversight (COO & HCAO)Omnium offers a unique business to business investment platform solution for financial advisors engaged in the business of wealth and investment management. Dealing in the receipt and transmission of orders, Omnium allows firms to access global stock markets, leading fund managers and various investment structures.The role: Head of Compliance (PCF 12) and Head of AML (PCF 52)This is an exciting opportunity for an ambitious individual, who wants to develop their Compliance career. The role will provide you with an excellent opportunity to assume increasing responsibility in a structured and guided manner within a growing MiFID Firm.Responsibilities:Drive a strong compliance culture throughout the firm.Lead the firm’s annual Compliance Risk Assessment to identify and assess the compliance risks affecting the firm.Document and implement the approved Compliance Plan and Compliance Monitoring Programme.Ensure the Monitoring Programme is continuously reviewed and prioritised.Ensure scheduled monitoring tasks are performed, logged and reported.Be responsible for annual review/update of the firms existing policies and procedures.Monitor upstream regulatory developments and trends.Assess the impact of and participate in projects to implement regulatory developments.Liaise with regulatory bodies on day to day queries, inspections etc.Be responsible for collation and tracking of scheduled regulatory reporting including transaction reporting.Lead in Adhoc Regulatory submissions, eg Extension of services or Fitness and Probity submissions.Perform Compliance and AML Assurance Testing to ensure controls are efficient and improved as required.Develop and implement a Compliance Training programme, to include but not limited to AML, Data Protection, Cyber Security and Ethics.Maintain oversight of Compliance and Data Incidents/breaches/logs.Report regularly to the CEO and Chair.Prepare formal Compliance updates for reporting to the board and record the board minutes.Other:Assist with the production of effective and timely reporting and management information for presentation to Senior Management and other key stakeholders.Participate in companywide initiatives.Cover for team members when required.Any other tasks as business needs require.Seniority levelExecutiveEmployment typeFull-timeJob functionLegalIndustriesInvestment Management
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