Purpose of the role:
Assist with the regulatory monitoring, review, and reporting, in liaison with the wider Compliance team.
Responsibilities:
- Assist in managing business and compliance interaction
- Assist with managing Business related regulatory/AML/CFT/CFP queries
- Supervision of any ad hoc tasks and projects being undertaken by the Compliance function
- Contribute suggestions on ways to make improvements to the Compliance function
- Assist the Manager with mentoring the Compliance Team, including the identification and delivery of relevant training to members of the team and ongoing analysis of duties undertaken
- Assisting with the Compliance Monitoring Programme to ensure it is carried out in a timely manner, assist with the reporting of findings, identify themes, and suggest recommendations/solutions
- Ensure the CMP tests are documented giving evidence and findings of CMP tests, actions and escalations required. Tracking all findings and remediated action
- Suggest CMP/AML/CFT/CFP improvements and scope suggestions to the Senior Compliance Manager
Skills required:
- A minimum of 5 years’ Compliance experience, ideally working in a trust environment
- Professional Compliance Qualification at Diploma preferable, but not necessarily subject to relevant experience
- To have an attitude that inspires respect and to be capable of taking the lead
- A high level of sensitivity, diplomacy and confidentiality is essential due to the nature of the work
- Working knowledge of Microsoft Office packages and applications, particularly Word, Excel, and Access