Assistant Compliance Manager

6 days ago

London, Greater London, United Kingdom CSC Full time

Assistant Compliance Manager

Compliance CLS & Funds

London Canary Wharf

Permanent

Hybrid

About the Role

We are seeking a proactive and dependable Assistant Compliance Manager to support our ongoing regulatory compliance team. This is a pivotal role for an experienced individual who can operate independently and take full ownership of our compliance framework, with a strong focus on UK regulations, the Economic Crime and Corporate Transparency Act 2023 (ECCTA), and sanctions compliance. Assistant Compliance Manager will support the Compliance Manager and MLRO in ensuring the firm meets all regulatory obligations under UK AML/CFT legislation, Companies Act requirements, FCA rules (where applicable), and HMRC/FCA supervisory expectations.

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
  • Proven experience in a compliance role within a TCSP, fiduciary services, financial services, or professional services firm.
  • Knowledge of UK Money Laundering Regulations (MLRs), ECCTA 2023
  • Strong experience in compliance monitoring, policy drafting, and training delivery.
  • Competence in KYC/AML onboarding, CDD/EDD analysis, and ongoing client monitoring.
  • Excellent report-writing and documentation skills.
  • Strong 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).
  • Awareness of TCSP-specific risks and best practices.
  • Knowledge of Companies House reforms under ECCTA 2023.
Remuneration and Benefits
  • Competitive salary based on experience.
  • Flexible working arrangements.
  • Professional development support.
  • Pension and other standard benefits.

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