Compliance Administrator

**Job Description**:
Job title:
Compliance Administrator

Department:
Compliance

Reporting to:
Compliance Manager

Job Level:
2

Role purpose: To provide assistance to the Compliance Manager in developing and maintaining an effective compliance culture across the range of regulated services, to provide assistance to all staff, relating to compliance issues, providing information, guidance and support where appropriate. To provide assistance with the development, implementation, review, record keeping and reporting of the Compliance Monitoring Programme and Compliance registers and other compliance functions.

Core responsibilities:
**Compliance Monitoring Program**
- Assist the Compliance Monitoring Administrator with the review, maintenance, monitoring and reporting per the Compliance Monitoring Programme schedule for the regulated entities, the managed entities and funds.
- Assist with the maintenance of relevant CMP records and compliance registers.
- Assist with recommendations to address deficiencies; and the implementation of such changes.
***
**New Business Take-On**
- Liaise with client facing staff in collating relevant documentation for compliance files;
- Attend to associated processes including:

- Update of Compliance registers
- Review of CDD documentation as required;
- Check Client Risk Assessments;
- Assist with of 90-day compliance reviews.

**Client Diligence Monitoring Systems**
- Assist with investigations and clearances of alerts from the World-Check / Pythagoras regular client database scans.

**Project Work**
- Ownership or assistance with any ad-hoc or Business as Usual compliance tasks identified

**General**
- Ongoing updates and maintenance of compliance/operational registers and providing information to the Money Laundering Compliance Officer (MLRO) and Money Laundering Reporting Officer
(MLRO) for reporting purposes;
- Assist in the integration of new and updated procedures through the acceptance process;
- Provide assistance as required to the MLRO and Deputy MLRO;
- Assist with training and the provision of information and guidance to the business functions;
- Assist with the compilation and provision of information and/or documentation to relevant appointed parties, or business relationship such as banks, investment houses etc;
- Assist the Compliance Manager as required;
- On a regular basis review the HMRC Tax Avoidance schemes guidance;
- Assist with required reviews and reporting of obliged persons.

Technical / Professional / Qualification Requirements:

- Minimum of 2 years experience in a regulated financial services environment, with some exposure in a Compliance role within the regulated financial services environment.
- Hold or be studying towards an appropriate professional Compliance qualification.
- Knowledge of the operational policies and procedures, particularly those covering Private Client Services business;
- Good level of judgement and logical approach to problem solving;
- Excellent personal skills to be able to deliver compliance guidance to the business.
- Excellent oral and written communication skills;
- Strong organizational skills and ability to work to deadlines;
- High level of accuracy and attention to detail;
- Proficiency in Microsoft Office.

Person Specification / Competencies

**Client**:Strong proactive client focus, seek opportunities to develop client delivery and quality.

**Company**:Strong commercial outlook, adherence to policies and procedures, promotes and supports commercial innovation and sharing of knowledge, high standards of professional development (individual and team), and aptitude for learning.

**People**:Collaborative, team player, wider organisational awareness and responsibility, excellent communication skills. Operational management responsibility with some strategic input.