Key Responsibilities

Compliance:

• Assist with the completion of Compliance Monitoring (to include AML and CFT) for client entities.
• Assist with updating the Compliance Monitoring Findings and Action Points Tracker.
• Assist with the completion of monthly Transaction Monitoring.
• Assist with the completion of the Periodic Reviews for client entities.
• Assist with handling regulatory and internal breaches.
• Assist with the handling of complaints.
• Maintain various LHFM(J) registers.
• Coordinate the annual Staff Compliance Declaration.
• Update the Record of Qualification and Relevant Experience registers for each LHFM(J) Employee on an annual basis.
• Monitoring and co-ordinating the completion of the internal policy and procedures manual declaration for all new joiners.

AML/CFT

• Assist with the maintenance and monitoring of the overnight screening programme.
• Assist with the collation and review of identification and verification documentation for investors and clients.
• Complete World Checks and screening as necessary.

General

• Coordinate meetings of the Business Risk Committee.
• General day to day administration within the compliance function
• Provide support to members of the compliance function and senior management as necessary.
• Ensure all work is conducted in accordance with internal procedures
• Maintain the highest standards of confidentiality and security in terms of client affairs and records
• In addition to the duties listed above, the Trainee Compliance Administrator may be requested to perform any other ad hoc duties or projects as requested by management.