The role involves assisting in all areas of the Compliance function, however, primary focus will be to support the senior compliance members fulfil their roles whilst they provide Key Person positions to the Company and fully regulated and / or AML supervised entities.
Additional activities will include providing general compliance support and assisting with the on-boarding of potential new business from both existing and new customers.
Key Responsibilities
- Assist the Compliance Team with the completion of the daily compliance task list, including but not limited to the checking and escalation of daily screening results, review and follow up of material changes to entity or customer profiles and risk ratings.
- Compliance Register reviews and updates / liaise with appropriate staff.
- Review and processing of CDD and ECDD received for customers and fund investors.
- Carry out screening, using proprietary databases, internet searches and sanctions checks as part of the new business take on process and at trigger events.
- Ad-hoc attendance at Risk & Compliance Committee meetings, including the drafting of meeting minutes, as required.
- Assist with the preparation of responses to banking, legal and overseas agent due diligence Reliance testing.
- Provide general assistance to the Compliance Team.
Key Competencies & Skills
- Preferably minimum or 4 years Compliance experience; (Consideration will be given to strong candidates with relevant experience in the Finance Industry, Trust Company/Funds Business areas).
- Currently studying towards, or desire to undertake, Professional Study with a relevant professional body e.g. ICA.
- Preferably hold or near completion of a JFSC Table 5 qualification.
- Good IT skills, including practical experience of Microsoft Outlook, Word and Excel.
- Good knowledge of client databases i.e. ViewPoint would be useful, but not mandatory.
- Good understanding of corporate and trust structures.
- Good understanding of AML/CFT/CPF regulatory framework.
- Good time management, prioritisation and organisational skills.
For more information, please contact Jamie on 707812 or email your CV to jobs@excel-recruitment.com