- 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.
- 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.
- 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.