Senior Compliance Officer

Salary £55,000

Entitled / Entitled to Work

Senior Manager Risk and Compliance

The role of the Compliance Department is to act as an independent and objective body which supports the business in its management and mitigation of Anti Money Laundering/Countering Financing Terrorism/Countering Proliferation Financing risk resulting from non-compliance with applicable standards and regulatory requirements.

The Senior Compliance Officer must be experienced in compliance and regulatory affairs and have a good understanding of Trust, Fund and Company administration.

The Senior Compliance Officer must be able to act independently with integrity, enthusiasm, and pace in the execution of duties and influence the business so ensuring appropriate action is taken where necessary as well as contributing to the wider work of the Compliance Team.

The Senior Compliance Officer must be able to exercise sound judgement to determine appropriate actions/solutions at solving complex technical and practical problems ensuring that work is prioritised accordingly so that both business deadlines and regulatory expectations are met.

The Senior Compliance Officer must have an eye for detail and be a willing, motivated, and pro-active individual who has a good understanding of local and worldwide regulation keeping abreast with changes ensuring that information is shared amongst the team.

The Senior Compliance Officer is one of the points of contact for more junior members of the team and must possess the ability to lead by example in teamwork.

• Provide support and assistance to all members of the compliance team along with maintaining and sustaining a good working relationship with colleagues from other departments within the Company

• Liaise with colleagues and external parties either face-to-face/by telephone/letter and/or email.

• Follow Company methodologies, internal policies and procedures. Spotting risks and pursuing policies and procedures that bring such exposures to levels deemed acceptable. Identify and recommend changes to processes, policies and procedures ensuring compliance is achieved and maintained.

• Undertake computer-based risk reviews on Trust, Company and Fund entities some of which will be part of a larger structure ensuring that they are conducted to a high standard in a risk-based and timely manner whilst meeting team objectives. Due to the level of seniority the more complex risk reviews should be undertaken.

• Undertake Codes of Practice (as applicable) monitoring reports each month at the same time as undertaking a risk review. If required, further monitoring reports may be requested.

• Deliver assigned sections of the AML/CFT/CPF Compliance Monitoring Programme and report to the Director of Compliance/Senior Manager within the required timescales