Our client are seeking a Compliance Administrator to join their team.
The successful candidate will assist in all aspects of Compliance and the anti-financial crime controls as required to assess, evaluate, report and minimise Compliance risk within the business. Assist with the monitoring of various functions against procedures to ensure compliance with various regulatory requirements. Perform compliance related administrative tasks, maintain registers and undertake compliance monitoring and new business checks in accordance with PIFM’s procedures.
Job Accountabilities:
- Carry out all tasks assigned as part of the annual Compliance Monitoring Programme and other Compliance task lists.
- Maintenance of Compliance registers.
- Reviewing the hits from the overnight screening of names from the database and liaising with the business to clear the hits – escalating any findings in accordance with the procedures.
- Signing off on the adequacy of CDD as requested, to include the maintenance of the respective Compliance records.
- Assist with the Compliance related tasks around the management of CPD for relevant employees.
- Provide advice and guidance to the business and where relevant to other Compliance staff to enable the business to operate efficiently and effectively in meeting its regulatory and legislative obligations.
- Undertaking and/or assisting with ad-hoc Compliance related projects or reviews as requested.
- Provide cover for Compliance team absences from time to time to ensure continuity of service to the business.
- Carry out any Compliance related function/activity as requested by Compliance Management, Head of Compliance or Directors from time to time.
For more information, please contact Jamie on 707812 or email your CV to jobs@excel-recruitment.com