Our client is seeking a Compliance Administrator to join their team. This full-time role involves a variety of compliance, risk, and regulatory analysis, as well as administrative tasks and responsibilities. The successful candidate will report to the Compliance Manager and will be integral in ensuring compliance with regulations and internal standards. The role encompasses data entry, file reviews, and collaboration with first line operations concerning customer relationships and pension arrangements managed on their behalf. The ideal candidate will be proactive in fostering a culture of compliance within the organisation while adhering to industry standards and practices.
Job Duties:
- Conduct compliance monitoring activities and testing in accordance with the Compliance Monitoring Plan, as instructed by the Money Laundering Compliance Officer (MLCO).
- Assess compliance levels and adequacy, producing compliance review reports for senior management as required.
- Encourage and support staff to comply with regulations and standards, providing guidance on good practices within a regulated environment.
- Undertake and review customer due diligence, source of funds, source of wealth, and other relevant risk considerations.
- Scrutinise, interrogate, and update compliance records in relation to customer relationships and pension arrangements.
- Respond to internal queries regarding compliance, regulatory, and risk matters.
- Liaise with internal contacts for the production of compliance reports and provide relevant data or information as necessary.
- Support the compliance team in training staff regarding the risk framework and compliance function.
- Identify and investigate issues or trends that may adversely affect business compliance, proposing improvements.
- Carry out customer risk assessments, including initial, trigger, and periodic assessments.
- Assist with external reporting requirements and the maintenance of compliance registers.
- Act as a limited authorised signatory in respect of risk assessments.
- Align actions with the organisation's Mission, Vision, Values, and Goals, striving for personal development and undertaking training as required.
Job Requirements:
- Minimum of 5 GCSE qualifications (Grade C or above), including English and Maths.
- Holding or studying towards a professional qualification in Compliance is desirable.
- A minimum of 1 years’ experience in a compliance role, with pensions or trust and company administration experience being advantageous.
- Good working knowledge of Microsoft Word, Excel, and Outlook is essential, alongside knowledge of local regulatory requirements.
- Strong organisational and communication skills, with a good attention to detail and analytical capabilities.
- Ability to maintain client confidentiality and communicate clearly and concisely, verbally and in writing, in English.
What You’ll Love:
You will be part of a dynamic team dedicated to fostering a culture of compliance and improving operational standards. The client prioritises professional development and excellence, providing opportunities for personal growth and training. You will enjoy working in an environment that values integrity, collaboration, and superior service. The role presents a chance to contribute to significant compliance activities while being supported by a knowledgeable compliance team. Join our client to make a positive impact in the compliance landscape.
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