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Compliance Monitoring Assistant

Purpose of the role:

The principal purpose of this role is to undertake compliance monitoring in accordance with the task driven schedule outlined in the Compliance Monitoring Programme.

Responsibilities:

  • Undertake compliance monitoring across the firm adhering to the timetable outlined in the Compliance Monitoring Programme
  • Undertake compliance monitoring to ensure alignment with regulatory and law society requirements
  • To carry out ad hoc monitoring when required
  • Determine compliance with internal policy and procedures
  • Ensure that compliance monitoring testing is completed in a timely manner
  • Accurately record all findings in the Compliance Monitoring Action Log
  • Escalate material findings and trends to the Compliance Monitoring Manager
  • Understanding when a finding constitutes a regulatory breach and the subsequent logging of the breach on the Breaches Register

Skills required:

  • Working towards or hold the ICA Certificate in Anti-Money Laundering or Compliance (or equivalent) is desirable but not essential
  • Knowledge of regulatory and/or law society requirements and AML/CFT legislation
  • Experience of Client Due Diligence on-boarding requirements preferably in a law firm environment
  • Good knowledge of Microsoft applications, particularly excel
  • Experience within a compliance monitoring/audit/Risk & Compliance role
 

Compliance

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