Compliance Specialist

1 week ago

London, Greater London, United Kingdom CSC Full time £45,000 - £60,000 per year
Description

Compliance Specialist
Compliance CLS & Funds
London Canary Wharf
Permanent
Hybrid
 

About the Role

Day to day responsibilities will focus on supporting the Compliance team on a second line of defense role in providing guidance to the first line on client onboarding, KYC requirements, preparing reports of overnight screening hits and taking the necessary steps to report financial crime. 

The ideal candidate is a highly motivated, inquisitive person with a background in Client Onboarding, AML investigations and preferably knowledge of trust services regulations, who is extremely client and team focused. This role would suit an ambitious, energetic person eager to learn and keen to progress further in a dynamic, rapidly growing business. 

Key Responsibilities
 

  • Manage the firm's AML registration/license with the relevant supervisory authorities, ensuring ongoing compliance with UK Money Laundering Regulations.
  • Plan and execute regular compliance monitoring reviews in line with the Compliance Monitoring Plan (thematic reviews)
  • Assist in compliance training delivery and awareness initiatives across business units
  • Support the business to conduct KYC checks, onboarding risk assessments for new clients in line with internal procedures and regulatory expectations.
  • Assist with suspicious activity/transaction monitoring and reporting (SAR/STR preparation)
  • Identify, document, and report compliance control gaps, weaknesses, or breaches
  • Monitor AML regulatory developments and ensure timely updates to internal frameworks and stakeholders (horizon scanning)
  • Regularly Monitor and review of cash management compliance processes in line with Global Payments Minimum Standards
  • Support monthly file review sample testing and develop reports for monthly Group Key Risk Indicator Reporting
  • Act as a trusted compliance contact across the business, advising colleagues at all levels.
  • Circulate and monitor annual declaration forms for colleagues and report non-compliance to Leader
  • Support ad hoc projects initiatives/implementation requiring compliance in put assessment

Essential Requirements
 

  • Experience in a compliance role within a TCSP, fiduciary services, financial services, or professional services firm.
  • Knowledge of UK Money Laundering Regulations 
  • Experience in compliance monitoring, policy drafting, and training delivery.
  • Experience in KYC/AML onboarding, CDD/EDD analysis, and ongoing client monitoring.
  • Able to prepare monthly reports
  • Good communication and stakeholder engagement skills, including ability to liaise with senior management, legal advisors, and external regulators.

Key Attributes
 

  • Self-starter with a proactive and ownership-driven mindset.
  • Confident and articulate communicator at all levels of the business.
  • Highly organised and methodical with excellent attention to detail.
  • Capable of working independently with minimal supervision.
  • Reliable, dependable, and discreet in handling sensitive information.
  • Comfortable working in a regulated, fast-paced environment.

Preferred Qualifications
 

  • ICA Certificate/ACAMS/Diploma in Anti-Money Laundering or Compliance (or similar) preferred but no essential
     

Remuneration and Benefits
 

  • Competitive salary based on experience.
  • Flexible working arrangements.
  • Professional development support.
  • Pension and other standard benefits.

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