Key tasks and responsibilities:
- Know-your-client (KYC) process: assist with client account opening/money laundering procedures and sanction checks.
- Compliance monitoring activities: assist in the Compliance Monitoring Programme as well as the analysis of findings. Assist in email review.
- Compliance registers: assist with approvals, oversee the maintenance and accuracy of registers (including Complaints, Data Breaches, Watch Lists, PA Dealing, Training, G&E, Breaches, Financial Promotions, Approved Persons) and actively monitor and escalate trends within the department.
- Management reports: assist with the preparatory work for Board Meetings.
- Compliance procedures manuals: assist with updating and enhancing of manuals, policies and procedures. Promote the requirement for the associates to follow compliance policies and procedures.
- Training: assist with compliance training.
- New joiner process: new staff inductions and attestations.
- Minimum of 1 to 2 years of experience in a financial services environment.
- Some experience in a relevant field, e.g. compliance monitoring or financial crime would be advantageous.
- Legal background preferable.
Key Required Skills/Competencies:
- High level of tenacity and a 'can do' attitude.
- Ability to work to tight deadlines whilst ensuring the work undertaken remains to a high standard.
- Shows the ability to work within a team and alone with one's own initiative.
- Demonstrates the ability to identify and escalate areas of inefficiencies and risk to the wider compliance team.
- Demonstrates the ability to adapt personal style and approach as appropriate to meet the needs of the business, without compromising standards.
- Superior organisation, prioritisation, and exceptional administrative skills.
- Structured in approach but flexible enough to work in an ever-changing environment.
- Personable, approachable with good energy.
- Degree 2:1 or above.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.