Purpose of the role:
As the Compliance Administrator, you will work with the Compliance Officer and Money Laundering Compliance Officer, supporting the business areas to operate in line with the local regulatory and legal framework and to manage compliance, regulatory, AML, operational and other risks.
Responsibilities:
- Undertake role-specific tasks to assist the Compliance Officer and Money Laundering Compliance Officer
- Assist with maintenance of the Incidents, Exceptions, Complaints, Gifts and Entertainment, Conflicts and Declined and Lost Business Registers (‘the Key Compliance Registers”). Assist with logging the reporting forms on the Key Compliance Registers held within Sharepoint and coordinate sign off of the reporting forms by the relevant parties
- Assist with the tracking of actions recorded in the Key Compliance Registers to ensure corrective measures have been implemented and remediated in a timely manner
- Provide assistance with overnight screening, when required
- Assist with oversight of the Compliance Mailbox, coordinating and allocating emails to the respective team members
- Develop an awareness of developments in the financial services regulatory and legal environment ensuring the business is positioned to respond and adapt to legal and regulatory changes
Skills required:
- 2 years experience working in a similar Compliance or Risk role
- Basic knowledge of Anti Money Laundering, Countering the Financing of Terrorism, Proliferation Financing and related financial crime legislation, codes and regulatory guidance
- A basic understanding of the operational process and business practices of a financial services business
- Excellent organisational skills and attention to detail and the ability to work on own initiative