Purpose of the role:
To provide assistance to the Compliance Manager in developing and maintaining an effective compliance culture across the range of regulated services, to provide assistance to all staff, relating to compliance issues, providing information, guidance and support where appropriate.
Responsibilities:
- Assist with recommendations to address deficiencies; and the implementation of such changes
- Liaise with client facing staff in collating relevant documentation for compliance files
- Assist with investigations and clearances of alerts from the World-Check/Pythagoras regular client database scans
- Ownership or assistance with any ad-hoc or Business as Usual compliance tasks identified
- Ongoing updates and maintenance of compliance/operational registers and providing information to the Money Laundering Compliance Officer (“MLRO”) and Money Laundering Reporting Officer (“MLRO”) for reporting purposes
Skills required:
- Minimum of 2 years’ experience in a regulated financial services environment, with some exposure in a Compliance role within the regulated financial services environment
- Hold or be studying towards an appropriate professional Compliance qualification
- Knowledge of the operational policies and procedures, particularly those covering Private Client Services business
- Good level of judgement and logical approach to problem solving