Purpose of the role:
To work closely with the Head of Client Compliance in delivering a robust compliance framework for a portfolio of regulated client entities.
Responsibilities:
- Contributing to the preparation and maintenance of the client boards’ business risk assessments
- Undertaking both planning and execution of the clients’ Compliance Monitoring Programmes and managing the findings and action points arising therefrom through to resolution
- Managing client correspondence with the regulator, including in respect of consent and notification matters
- Preparing/reviewing/presenting compliance reports for clients
- Providing support and guidance to clients/client boards on applicable regulatory and AML matters
- Providing general day-to-day management of client compliance matters, workloads, and deadlines
Skills required:
- You may have previous experience in a senior compliance role, a diploma level professional Compliance Qualification and be seeking the next step in your compliance career
- A strong background and understanding of financial services
- Strong administrative, analytical, and organisational skills
- Good interpersonal, written, and verbal communication skills
- 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