Compliance Assistant

3 weeks ago


Southport, United Kingdom The 79th Group Full time

**Compliance Assistant**

The 79th Group is a family-owned asset management company with an entrepreneurial spirit, based in the UK but with a global reach and partners and investors in most countries.

The primary role of the Compliance Assistant is to assist the Compliance Manager and the Senior Management Team to protect the assets, reputation and sustainability of the business. This is done by following the business’ Compliance Policies and procedures.

The Compliance Assistant role involves:
Primary Activities
- Compiling and checking KYC information and supporting documentation.
- Completing due diligence checks using appropriate software e.g., Smartsearch and World Check.
- Perform risk assessments on clients to understand risk level
- Providing DD reports for review
- Highlight or escalate areas of concern
- Ensure that findings are recorded and followed up with the Compliance Officer or Group Risk & Compliance Manager so that issues can be rectified
- Provide regular reports to the Group Risk & Compliance Manager on compliance activities and issues

Other Activities
- Contribute to robust and effective compliance controls within the business
- Answering queries relating to company policies, and compliance.
- Assist in the gathering of internal information in response to regulatory requests
- Assist with checking, and updating, company policies to ensure they are current and that procedures follow them.
- Collaborate with other departments to create a culture of compliance
- Keep up to date with, and understand, relevant laws and regulations
- Assist with training colleagues on the regulations, and the impact on the business if these are not complied with
- Perform various general compliance administrative duties e.g., updating policy documentation, file creation, and inputting ongoing management information.

**PersonalSkills** **and Attributes**
- Problem solving
- Attention to Detail
- Risk assessment
- Critical thinking
- Communications : written, and verbal
- Computer literate:
Use of Microsoft Office and KYC checking software e.g. Smartsearch and WorldCheck

**Experience and Qualifications**
- 3 years’ experience in a financial company in a compliance role
- Certificate in Compliance, or working towards
- Bachelor's degree related to finance, business, or criminal justice

**Job Type**: Permanent

**Salary**: £21,000.00-£23,000.00 per year

**Benefits**:

- Company events
- Discounted or free food
- On-site parking
- Store discount
- Wellness programme

Schedule:

- Monday to Friday

Work Location: One location

Reference ID: HR05/CA



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