Responsibilities involve supporting the Head of Compliance & Legal, in oversight of the AML, Risk & Compliance function for Europe.
- Day to day responsibility for know-your-client process including escalating, discussing and resolving relevant AML, CTF & Sanction/PEP concerns with the MLRO;
- Assist and manage the compliance monitoring activities across the European offices including carrying out detailed reviews and ensuring the proper investigation and analysis of potential breaches are documented and escalated accordingly, including keeping an up to date actions log;
- Assist with the preparation of management reports, including, compliance
- reports, MLRO reports and annual risk assessments;
- Assist with the preparation of regulatory filings (including financial crime data return);
- Assist with updating and enhancing compliance manuals, policies and procedures and being responsible for ensuring the Compliance Procedures Manual is up to date;
- Assist with approvals, oversee the maintenance and accuracy of Compliance registers (including Complaints, Data Breaches, Watch Lists, PA Dealing, Training, G&E, Breaches, Financial Promotions, Approved Persons) and actively monitor and escalate trends to the Head of Compliance & Legal
- Assist the Head of Compliance & Legal Counsel with managing the content and training of associates;
- Managing and overseeing the new joiner process for all new staff including inductions and attestations;
- Monitor regulatory changes which may impact the firm and, together with the Head of Compliance & Legal assist in implementation projects as required, including updating internal policies and procedures, providing training and relaying updates to business stakeholders; and
- Performing ancillary departmental administrative tasks (answering phones, arranging meetings, taking minutes, submitting expenses etc.).
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.