Compliance Assistant

1 week ago

Guildford, Surrey, United Kingdom RSM UK Full time

About the firm and department

?RSM is a leading provider of audit, tax and consulting services to middle market leaders globally. With around 3,650 partners and staff in the UK and access to 51,000 people in over 120 countries across the RSM network, we can meet ourclients' needs wherever in the world they operate and offer our staff brilliant and fulfilling careers. Indeed, we were recently "2 star" accredited by Best Companies, achieving the rating of "outstanding organisation to work for". We also placed second inthe "Best Accountancy Firms" category and have been named the UK's 6th "Best Big Company".

People are an organisation's biggest asset but they are often its biggest cost and its biggest risk too.

RSM's People Advisory Services business line helps organisations enact their people and talent strategies and manage their people challenges using amulti-disciplinary approach in the UK and globally.

The team combines RSM's experts across employment tax, employment legal, payroll, HR, equity reward and global mobility. Working together, this alliance of specialists brings clients a unified and seamlessservice offering. People and Pay (PAP) is the HR and payroll division of People Advisory Services.

This is a fantastic opportunity to join a growing team at an exciting part of the journey. The variety of projects will challenge you every day, helping you expand your capabilities and grow professionally. You'll have plenty of opportunity to broaden yourhorizons and discover a culture that nurtures individuality and celebrates fresh thinking

About the role


The Compliance Assistant will be part of the Pay and People Compliance Team which acts as the central processing area for the business line's clients, ensuring necessary client due diligence is carried out and kept up to date in accordance with UK Anti-MoneyLaundering Regulations (AML) and that signed engagement letters are in place.


  • Drafting engagement letters for new and existing clients/engagements using the firm's standard template (reviewed and checked by Senior Compliance Executives/Compliance Manager.
  • Assisting the team with migration of all engagements onto a new KYC system and updating old engagement letters.
  • Drafting professional clearance letters to send to prospective clients' existing payroll provider/accountants and follow up to ensure a response is received within the correct timescale.
  • Assisting with client disengagement and drafting Data Retention Agreements.
  • Offering new ideas to the team on how to improve the client onboarding process.
  • Keeping up to date with changes in money laundering regulations and the firm's procedures.
  • Under guidance, learning how to complete antimoney laundering client due diligence on clients in accordance with internal procedures and money laundering regulations. This includes understanding different structures of clients, tracing beneficial ownershipand analysing results of electronic checks to identify possible PEPs or sanctioned individuals, as well as carrying out conflict checks with other services provided by RSM UK and the international network.
  • Any other duties as requested by the Compliance team.


You may have had successful involvement in any of the following areas: client account management, Anti-Money Laundering (AML), KYC, legal, office management, banking, customer/client service and/or client on-boarding.

We do offer full training within therole, so experience within these areas is desirable but not necessary.

The following competencies are required:

  • Excellent organisation, with the proven ability to meet deadlines and prioritise work whilst maintaining accuracy and focus.
  • Strong problemsolving skills with an analytical approach.
  • Confidence in communicating with people at all levels.
  • Examples of initiative and being able to work well within a team environment.
  • Ability to research independently and work unsupervised, with the desire to learn new tasks and take on additional responsibilities where necessary.

Flexible Working

At RSM we work hard to create an environment where our people can make a difference - to themselves, their career, their teams, and to the success of our firm and clients.

We support all our people to work flexibly, to manage their family and other responsibilitiesalongside their work commitments; we believe this is key to achieving an inspiring and fulfilling working environment.


Diversity and Inclusion at RSM
At RSM, inclusion and diversity are central to our values.

We have an authentic focus on intentional inclusion, enabling our people to feel they can bring their whole self to work and ensuring everyone feels supported, respected and confident to make a valuablecontribution.

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