Compliance Administrator

Principal Responsibilities

  • Assist the Compliance Manager with the review of new business take-on forms, customer profiles, risk assessments and other documentation as appropriate;
  • Assist with on-going compliance monitoring and ensuring client due diligence information for all clients meets internal and statutory standards, including remedial action and liaison with administrators where necessary;
  • Assist the Compliance function with the carrying out of testing as required under the Compliance Monitoring Programme;
  • Assist with the maintenance of compliance files, registers, monitoring spreadsheets or databases;
  • Assist with the preparation of compliance related management information and reports;
  • Consider or suggest ways of improving internal procedures and practices encountered whilst performing principle responsibilities and assist with their implementation;
  • Provide back up support and assistance to other members of the Compliance team as and when appropriate;
  • To champion a compliance culture within the Fairway Group;
  • Assist employees with queries that may raise on AML / CFT, regulatory compliance or client due diligence issues; and
  • Other projects as assigned and other duties that may be deemed appropriate to this role.

General Responsibilities

  • Develop and maintain good relations with other staff members;
  • Ensure all work is conducted in accordance with internal procedures;
  • Maintain the highest standards of confidentiality and security in terms of client affairs and records;
  • Monitor performance against personal and developmental targets;
  • Identify areas where further training would be beneficial and bring these to the attention of the Group Head of Risk & Compliance;
  • Ensure accurate maintenance of records;
  • Achievement of objectives and KPIs;
  • Maintain a record of Continuing Professional Development activity undertaken during each year;
  • Undertake anti money laundering training as required by internal procedures; and
  • Maintain an awareness of regulatory and compliance related legislation and guidance in general.

Competencies & skills required

  • Professionalism, dependability, integrity and trustworthiness combined with cooperative attitude;
  • Possess a relevant professional qualification or be willing to study;
  • Strong organisational skills with excellent attention to detail;
  • Be self-motivated, adaptable and flexible in approach to the work;
  • A team player and confident in dealings with others; and
  • Demonstrable collaborative approach in order to assist in the implementation, maintenance and support of a compliance focussed culture within the Company.

IT Skills

  • Microsoft Office – mainly Word, Excel and Outlook;
  • Minimum 5 years financial services industry experience; and
  • Any other IT system deemed to be necessary for the role.