Our client is seeking a Senior Compliance Officer on a permanent basis within the Compliance Department. The role entails acting as an independent body that supports the business in managing and mitigating risks related to Anti Money Laundering, Countering Financing Terrorism, and Countering Proliferation Financing. The Senior Compliance Officer will possess extensive experience in compliance and regulatory affairs, with a strong understanding of Trust, Fund, and Company administration. This position requires the individual to work independently, demonstrating integrity and enthusiasm while influencing the business to take appropriate actions when necessary. The successful candidate will need to exercise sound judgement to resolve complex issues and ensure that work is prioritised to meet business deadlines and regulatory expectations. Click here to read more.
Job Duties:
- Provide support and assistance to all members of the compliance team and maintain good working relationships with colleagues from other departments.
- Liaise with colleagues and external parties via various communication methods.
- Follow internal methodologies, policies, and procedures, identifying risks and recommending changes to ensure compliance.
- Conduct computer-based risk reviews on Trust, Company, and Fund entities, ensuring high standards in a risk-based manner.
- Undertake monthly monitoring reports and risk reviews as required.
- Deliver assigned sections of the AML/CFT/CPF Compliance Monitoring Programme and report within the required timescale.
- Maintain allocated registers and review complex new business applications.
- Approve due diligence on all matters and verify identification and address documentation.
- Review and approve Introducer Certificates, Instruction Forms, and Client entity Board Packs.
- Log deficiencies noted in the business environment and follow up for timely resolution.
- Participate in the monthly screen-based monitoring of the database using Regulatory Data Corp (RDC).
- Identify and report any key breaches and failures to management.
- Assist in handling Production Orders and information requests as needed.
- Deliver compliance projects and prepare reports as requested.
- Provide team briefings on regulatory developments and produce training material.
- Complete periodic AML training and provide cover for team members when necessary.
- Update and archive records in compliance with retention policies.
- Respond promptly to internal communications impacting the operation of the business.
- Contribute to the successful delivery of remediation and other projects as required.
Job Requirements:
- Ideally hold or be studying towards a relevant professional qualification (such as STEP or CGI).
- Strong understanding of relevant regulation and legislation, providing technical support to the business.
- Excellent written and verbal communication skills.
- Strong organisational, time management, and analytical abilities.
- Exceptional attention to detail.
- Ability to work proactively with limited supervision.
What You’ll Love:
Our client values a proactive and motivated individual who understands regulation and the financial services marketplace. They pride themselves on their core values, which include excellence, integrity, caring, responsibility, partnership, and positivity. By fostering a supportive environment, our client aims to ensure the success of their business and stakeholders.
Interested? Register today, confidentially, with one of our friendly and dedicated recruitment specialists by clicking here
