Reports to: Compliance Officer
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.
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
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
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 in a financial service business is preferred.