Purpose of the role:
To work closely with the Head of Compliance in delivering a robust AML/CFT programme and a portfolio of regulated client entities.
Responsibilities:
- To handle client onboarding relationships effectively & autonomously through the management of AML processes including due diligence on new and existing investors (CDD reviews), interpreting complex structures, and assisting with Client reviews
- Be responsible for executing background checks and searches/client profiling, carrying out ad-hoc World checks and Open-Source searches as requested
- Provision of support and guidance, and its clients, on applicable regulatory and AML issues and business-related AML queries
- Ongoing analysis of the effectiveness and adequacy of AML solutions provided, assisting with the identification of failures and identifying causes and remedial actions
- Assist with the maintenance and updates to AML Compliance & Risk Registers (including Issues, and Politically Exposed Persons/High profile clients) ensuring events are recorded, monitored, and reported to Senior Management where necessary
- Any other reasonable duties that may be assigned
Skills required:
- A genuine desire to work in compliance and a passion for AML matters
- A strong background and understanding of financial services
- The ability to take ownership of matters and work independently, where required
- An inquisitive mindset and the ability to think through issues and draw out implications and recommendations
- A positive attitude and a preference for working collaboratively as part of a team