Compliance Officer

3 months ago

Glasgow, United Kingdom Rettie and Co. Full time

**KEY DETAILS**:
Job Title**: Compliance Officer (AML Specialist)**
Location**:Based in either our Edinburgh or Glasgow office locations**
Department**:Operations**
Reports to**:Risk & Compliance Manager**
Hours**:37.5**

**Purpose of the role**:
As the Compliance Officer, with a specialist focus on Anti Money Laundering (AML), you ensure that we conduct our AML business processes in compliance with laws and regulations and relevant professional standards e.g. HMRC, RICS and ARLA. You also support the Risk & Compliance Manager to ensure that our AML business activities are conducted within the internal framework of policies, procedures and systems.

You use your strong monitoring, analytical and reporting skills, and your keen eye for detail, to flag any potential Red Flags (SAR’s) to the Risk & Compliance Manager who can then review and report if necessary to the relevant regulators. You also assist in regular AML audits and feedback along with recommended action reports for the Risk & Compliance Manager, the Management and Exec Teams.

You continually look for opportunities to improve and streamline our AML compliance processes, to further enhance customer experience as well as employee experience and efficiencies whilst keeping a focus on the current regulations. You provide expert support to the frontline teams to ensure the required level of adherence, while actively challenging and eliminating unnecessary bureaucracy.

You support the Risk & Compliance Manager in ensuring we meet our AML regulatory training obligations by providing, as required, new start onboarding and annual refresher training, as well as bespoke training to address performance gaps. You take AML regulatory information and communicate it clearly and simply to non-expert colleagues, collaborating with the Risk & Compliance Manager and Training Manager to ensure training content is engaging, relevant and easy to understand.

You work with the Risk & Compliance Manager to ensure all teams can access up to date and clear information on policies, procedures and training via our intranet, supporting our company culture of self-help and proactive personal development.

You use your strong verbal and written communication skills to build positive relationships with your colleagues our professional contacts, clients, and customers. You understand the importance of positive, long term professional and client relationships and take an approach, when dealing with them that ensures these are nurtured and developed, whilst ensuring our regulatory responsibilities are met.

**Key responsibilities**:

- Responsible for supporting frontlines teams to complete KYC and KYCB checks in line with internal policy and procedures, including completion of risk assessments and collation of supporting documentation
- Completing as required AML checks using our approved electronic verification software
- Responsible for managing electronic verification software supplier on a day to day basis, reporting any issues to the COO and Risk & Compliance Manager
- Responsible for ensuring accuracy of all your own data input and record keeping, enabling the accuracy of management information reporting and the audit process
- Responsible for completing AML audits as required, identifying trends and areas for improvement at individual, team and division level
- Produce AML audit dashboard and other relevant Management Information to inform the Management & Exec Teams of issues and recommended actions
- Identifying high-risk cases and patterns and escalating complex AML cases to the Risk & Compliance Manager for support and advice
- Support the Risk & Compliance Manager by providing expert AML guidance and training
- Communicate directly with frontline teams, clients, customers and professional contacts as required to ensure required KYC and KYCB documentation is completed
- Supporting the Risk & Compliance Manager as required with other general compliance activities

**Key competencies**:
Essential
- Expert knowledge of AML regulations and KYC / KYCB
- Experience gained in an Anti-money laundering or client due diligence team, ideally within a financial services or property related environment
- Experience gained in a client facing role
- Competent skills in Microsoft Teams, Word, Excel, PowerPoint, and Outlook
- Strong data analysis skills and ability to interpret data and produce reporting
- Thorough understanding of relevant regulatory guidelines

Desirable
- Degree educated in a relevant discipline or an AML related qualification
- Knowledge of residential sales processes within the Scottish market

**Behavioural competencies**:

- Customer focused
- Organisational ability
- Judgement
- Teamwork
- Problem solving
- Working collaboratively
- Effective communicator
- Integrity
- Effective under pressure

**About us**:
When you join Rettie & Co. you’ll discover the difference you can make. We are a growing and ambitious company, but at our foundations we have a family

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