Our client is seeking a proactive and detail-oriented Compliance Officer to join their dynamic compliance team. This full-time role offers an exciting opportunity to contribute to the organisation’s compliance framework by ensuring regulatory adherence and risk management. The successful candidate will play an integral part in the new business take-on process, including client screening and customer due diligence, with responsibilities extending to monthly compliance monitoring and various other critical tasks.
Job Duties
* Screen clients and conduct Customer Due Diligence (CDD), determining risk ratings.
* Carry out monthly compliance monitoring and testing.
* Complete customer risk assessments and conduct enhanced risk assessments for high-risk indicators.
* Maintain registers for complaints, gifts, conflicts of interest, bribery, Powers of Attorney (POA), and Politically Exposed Persons (PEP).
* Monitor and update operational manuals in line with current legislation.
* Prepare monthly statistical reports on entities, directorships, trusteeships, and client listings.
* Manage the Anti-Money Laundering/Counter Financing of Terrorism (AML/CFT) statistical return and CAR report.
* Oversee Professional Indemnity (PI) insurance renewals and disaster recovery testing.
* Conduct annual reviews for banking relationships and monitor annual trusted introducers.
* Arrange annual AML refresher training for staff and key personnel.
* Ensure the proper maintenance of Client ID files and customer engagement letters.
* Complete daily time recording and other responsibilities as necessary for the role.
* Embrace opportunities for progression as the position evolves.
Job Requirements
* Strong knowledge of compliance regulations and frameworks relevant to the financial services sector.
* Proven experience in a compliance role, particularly with customer due diligence and risk assessments.
* Exceptional analytical skills with attention to detail.
* Ability to manage multiple tasks and maintain meticulous records.
* Excellent communication and interpersonal skills to liaise with various stakeholders.
What You’ll Love
Our client offers a supportive and collaborative work environment, with opportunities for professional development as the role evolves. The chance to be part of a pivotal function within the organisation, where your contributions directly impact compliance and regulatory adherence, makes this an exciting career opportunity. If you are passionate about compliance and looking for a role where you can make a difference, consider applying today!
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