Compliance Officer/ Assistant

Job Description

Duties include:
– Ensure the information held on each client complies with office procedures
– Perform regular compliance reviews
– Ensure compliance procedures are met for new business
– Identify any high risk clients or Politically Exposed Persons (PEPs) and run sanctions checks
– Perform regular monitoring of high risk clients
– Assist the MLRO in implementing FATCA/CRS reporting
– Act as an independent review on the Company’s client risk profile
– Maintain and review compliance policies and procedures for the general operation of the firm
– Keep up to date with regulation to ensure policies and procedures remain current
– Prepare quarterly reporting for review by the Directors in the compliance meetings
– Undertake exception reporting and monitoring
– Assist in all matters relating to Data Protection including ensuring compliance with the General Data Protection Regulations
– Implement Data Protection Training as required
– Anti-money Laundering
– Assist the Deputy MLRO and MLRO to ensure the firm is compliant with all AML/CFT legislation and guidance
– Maintain and review procedures as required

Skills and experience required:
– Educated to degree level, preferably with a business related degree, or have strong ‘A’ levels with previous experience in compliance in a regulated entity
– An excellent communicator with strong organisational skills who can liaise with staff at all levels to ensure compliance procedures are met in the required timescale
– Discretion, diplomacy and a confident approach are a must
– Willing to take on responsibility and ownership of tasks