Compliance Manager (fixed-term contract)

Compliance Manager (fixed-term contract)

• Business line: Wealth Management
• Location: London
• Contract: CDD - Fixed-Term Contract
• Published: 03 Mar 2025

Company Description:

Joining Mirabaud means entering an entrepreneurial and innovative environment. With the 7th generation of the Mirabaud family working within the bank, the culture is that of a family business. With over 750 employees based in 10 countries worldwide, Mirabaud offers opportunities to develop one's career across an international network of 16 offices.

Job Description:

• Assist in managing all compliance issues within the UK Branch of Mirabaud & Co Europe (MCEU), including compliance monitoring, risk to regulated entities, training requirements, and monitoring new regulatory developments, assessing the impact of the UK Branch and informing the Board / Executive Committee (together "governing bodies") of the findings, actions required, and timelines.
• Coordinate and implement the standards of the Luxembourg-based entity based on UK and European legislation.
• Apply knowledge in anti-money laundering and client identification in the account opening process and transaction monitoring.
• Manage various compliance responsibilities including designing and implementing internal controls, policies, and procedures to assure compliance with applicable local, state, and federal laws and regulations and third-party guidelines, including those relating to customer, client take-on, and client agreements.
• Act as the deputy Money-Laundering Reporting Officer (MLRO) for the UK Branch of the MCEU, including approval of all new client relationships; establishing and maintaining appropriate systems and controls for ongoing monitoring of financial transactions for evidence of money laundering and financial crime including bribery; acting as focal point for receipt and assessment of internal suspicion reports; making disclosures to and acting as liaison with the authorities in respect of financial crime and suspicious transaction reports; arranging appropriate financial crime and fraud training for all employees; and assisting in preparing and submitting the quarterly MLRO Report to the governing bodies of MCEU.
• Develop an internal control system to ensure adherence to legal and prudential standards, particularly concerning market rules and investor protection in a UK and international regulatory environment.
• Be aware of and consider the impact of Consumer Duty and the six Treating Customers Fairly outcomes in respect of all activities undertaken.
• Be aware of obligations in preventing Mirabaud from being used to further financial crime, particularly money laundering, terrorist financing, bribery and corruption, and market abuse, and to report any suspicions or suspicious activity where market abuse is suspected.
• With the Head of Compliance UK and the Head of Mirabaud & Co (Europe) SA, UK Branch, manage the relationship with the UK regulated authorities.
• Responsible for all regulatory training and ensuring that Certified Persons (or equivalent) are necessarily competent and qualified to perform their roles.
• Assist in reporting to the governing bodies of the regulated entities in respect of compliance regulatory risk issues.
• Group-wide risk responsibilities: 1) as a risk owner, responsible for ensuring that the controls in Compliance are adequate, operate properly, and mitigate relevant risks; 2) responsible for reporting any incidents, near misses, or control failures, as well as identifying and reporting emerging risks, conflicts, and important trends.
• Regulatory change: responsible for monitoring any regulatory changes that may impact the business, advising the executive and governing bodies, and developing strategy and/or forming appropriate committees/working groups to ensure the business remains compliant at all times.

Qualifications:

• University degree in Business or Law.
• Knowledge of regulatory regimes in Switzerland and Luxembourg desirable.
• Analytical skills.
• Ability to take into account differing requirements, pressures, and conflicts and give sound verbal reasoning.
• Interested in the market, product, and regulatory developments.
• Team player with strong communication skills.
• Ability to work under pressure and multi-task.
• Honesty, integrity, and financial soundness.

Additional Information:

• Family-friendly and dynamic environment.
• Direct impact on the business, no matter your position or seniority.
• Work in an environment that encourages autonomy and entrepreneurship.
• Flexible working arrangements to help you achieve a better work-life balance.
• Variety of cultural and sporting activities during your free time.
• Inclusion and equal treatment.
• Various employee benefits & family-friendly benefits.

Notes:

• Only candidates selected for an interview will be contacted. Many thanks for your understanding.
• We will not accept any CVs from agencies.