Careers

Compliance Administrator

Principal Responsibilities

  • Assist the Group Head of Risk & Compliance with the review of potential new clients, including reviewing new business take-on forms, client due diligence profiles, risk assessments, client identification documents and other documentation as appropriate;
  • To be the main point of contact for all in-house systems and change of client data system (migrating to NAVOne);
  • Carry out online client due diligence checks using specialised online systems and general internet searching;
  • Assist the Group Head of Compliance and Risk with on-going 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 Group Head of Risk & Compliance 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;
  • Assist administrators with queries they may raise on compliance or client due diligence issues; and
  • Assist with or carry out any other projects as requested from time to time by the Group Head of Risk & Compliance.

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;
  • Complete daily timesheets;
  • 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;
  • 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.

IT Skills

The role will involve intermediate to advanced experience of:

  • Microsoft Office – mainly Word, Excel and Outlook;
  • General client database and CRM software;
  • Google and/or other Internet search engines; and
  • Any other IT system deemed to be necessary for the role.

Competencies

The role holder will:

  • Possess a relevant professional qualification or be willing to study;
  • Minimum 5 years financial services industry experience, preferably in a Trust, Funds and Company compliance environment;
  • Have a good understanding of anti-money laundering and client due diligence requirements for
  • a financial service business and its Clients;
  • Be methodical and have excellent attention to detail;
  • Be self-motivated, adaptable and flexible in approach to the work;
  • Have good organisational skills and be able to organise their time effectively; and
  • Be a team player and confident in dealings with others.