Trainee compliance administrator x2

Reports to: Compliance Officer

The role:

The main areas of responsibility for this role are to provide support to the Compliance Administrator and Compliance Officer in the provision of detailed and timely advice and reports for LHFMJ and their clients, in order to assist fee earners meet their regulatory obligations and to assist with a broad range of compliance and risk management duties which focus on ensuring that LHFMJ regulatory obligations and risk management objectives are fulfilled.

Duties and responsibilities:

  • Assist with the completion of Compliance Monitoring (to include AML & CFT) for client entities

  • Assist with updating the Compliance Monitoring Findings & 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)L Employee on an annual basis

  • Monitoring & co-ordinating the completion of the internal policy & procedures manual declaration for all new joiners


  • 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 WorldChecks and screening as necessary




  • Coordinate meetings of the Business Risk Committee

  • Scanning

  • Complete 25 hours of relevant Continuing Professional Development

  • Provide support to members of the Compliance Function and senior management as necessary

  • Assist with ad-hoc projects assigned to the Compliance function

  • Promote a positive culture of compliance to all staff

  • Develop and maintain good relationships with other staff members

  • 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

Technical knowledge / skills required:

The candidate will need to be aware of the legislative and regulatory requirements relevant to fund and trust company businesses, including anti-money laundering and countering terrorist financing requirements.

  • Ability to write reports and business correspondence
  • Be self-motivated, adaptable and flexible in approach to the work
  • Excellent interpersonal and communication skills
  • Strong organisational and time management skills
  • Ability to use initiative and work independently
  • High attention to detail and accuracy
  • The candidate should have an intermediate to advanced experience of Microsoft Office, mainly Word, Excel and Outlook, Google and/or other search engines.


Minimum Education / Qualifications

  • A Levels or equivalent.
  • AML/Compliance qualification or willingness to study towards one.

         Previous Experience

  • Previous experience in a financial service business is preferred.

Apply for this vacancy

Only numbers allowed