We have a great new opportunity for a Compliance Administrator to join an independently owned provider of private client, corporate and fund services.
• The CA will help develop and promote a strong and properly functional Risk & Compliance culture.
• The CA is responsible for the completion and maintenance of the Compliance Monitoring Programme and reporting any deficiencies.
• The CA is responsible for reviewing and closing off the daily automated screening hits and escalating any as required.
• The CA must log and keep up to date all relevant registers, including but not limited to, risk, breaches, complaints, PII notifications, errors, PEPs and introduced business registers.
• The CA should assist with the review of CDD and new business packs, as well as dealing with adhoc CDD queries that arise.
• The CA is responsible for assisting with the collation and presentation of information for management reporting.
• The CA should investigate and report on any adverse information regarding the client, potential client or related parties found via the internet, RiskScreen, automated screening or via other means.
• The CA should assist with the completion of regulatory returns and information requests from all third parties such as service providers and regulatory/law enforcement bodies and ensure these are completed in an accurate and timely manner.
• To work with the R&C team to ensure that the firm’s policies, procedures and controls are properly embedded, effective and robust, in order to support.
More information about this role is available upon request – contact the team today for further details.
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