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:
- Working closely with the Client Compliance and Manager’s compliance teams, as well as the Client Boards and the Manager/wider business to ensure effective compliance services are provided to clients
- 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 with 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
- You may also be from a non-compliance background but have relevant experience and a genuine interest in transitioning to a role that rewards independent thinking, professional judgement, and analytical skills
- A genuine desire to work in compliance and a passion for regulatory and AML matters
- A strong background and understanding of financial services
- The ability to take ownership of matters and work independently, where required