Carry out testing as required within the CMP in accordance with the CMP schedule, documenting all findings within the test sheets, for review by the CMP Manager, for Fairway Group and related client entities;
Provide input into future improvements to the relevant CMPs, based on the testing conducted and observations made;
Assist with the timely clearance of CMP findings, by proactively liaising with the business teams regarding actions to be taken;
Assist with the preparation of compliance related management information and reports;
Consider or suggest ways of improving internal procedures and practices encountered whilst performing the CMP testing;
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 arise on AML / CFT / CPF or regulatory compliance matters; and
Other projects as assigned and other duties that may be deemed appropriate to this role.
General Responsibilities
Develop and maintain good relations with 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 Director & 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;
Strong organisational skills with excellent attention to detail;
Be self-motivated, adaptable and flexible in approach to the work;
Minimum 5 years financial services industry experience;
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 focused culture within the Company.
IT Skills
Microsoft Office – mainly Word, Excel and Outlook; and
Any other IT system deemed to be necessary for the role.