Deputy Compliance Officer
Reporting to the Group Head of Compliance you will ensure the business complies with relevant laws and regulations and provides assistance with the implementation of standalone or on-going projects.
Responsibilities will include:
- Reviewing potential new clients, including reviewing business take-on forms, client due diligence profiles and risk assessments
- Driving the development of compliance monitoring programmes
- Assisting in the designing, implementation and undertaking of risk management systems
- Preparing reports for the Boards
- Assisting employees with queries on compliance and due diligence issues
Key skills and expertise required:
- Minimum 5 years’ financial services experience
- ICA Diploma in Compliance or equivalent
- Methodical approach to tasks
- Ability to organise time effectively
- Confident in dealing with others
If you’d like to find out more information about this opportunity, please call us on 01534 626777 or email firstname.lastname@example.org
We are an equal opportunity employer and value diversity at all times
As a key member of the Compliance department, you will cover all areas of statutory and regulatory compliance providing technical advice, undertaking risk assessments and reporting for the business. You will be responsible for the development of policies and procedures to improve services and to ensure they are followed, monitored and reviewed with the objective of providing a first class service.
Joining the compliance function of a global financial administration services provider, you will assist the Director of Compliance in overseeing and managing compliance within the organisation, ensuring the company and employees are complying with both regulatory requirements and internal policies and procedures.
Join this small, independent wealth structuring and administration company is currently seeking a motivated individual with previous trust and company experience to join their team. Within this role you will administer your own assigned portfolio of trust and company clients and be supported to complete further professional study.