Compliance Officer

13 hours ago

Wickford, United Kingdom Animo Associates Limited Full time

**1.** **Job Purpose**

Using a risk based approach on client activity to remain compliant with AML regulations. Verifying and vetting clients through the onboarding process to ensure we are staying within the regulatory guidelines and minimising risk to the company.

**2.** **Role of Department**

The compliance department supports the company by ensuring that both internal and external legal requirements are complied with.

**3.** **Scope and Range**

Working closely with the MLRO/compliance manager to ensure that the organisation and our clients comply with internal and external regulations. Acting in line with AML regulations, completing ongoing monitoring of transactions and using a risk based approach for all services. Collecting KYC on clients in-line with professional standards. Overseeing and providing training to junior compliance members.

**4.** **Main tasks, duties, and responsibilities**
- Performing routine risk reviews to help organisations understand compliance risk, scope and significance
- Recording findings properly and following up with management to ensure issues are rectified
- Assisting in the gathering of information internally in response to requests by regulatory organisations
- Performing administrative tasks such as file creation and maintaining files of ongoing projects
- Collaborating with other departments to ensure compliance and investigating irregularities
- Analysing documentation and ensuring that they meet the standards of what is required by law and by our Company policy
- Carrying out the relevant checks on clients including world check and overnight screening
- Making requests to file handlers for any outstanding documents and providing them with the requisite templates to send on to the clients
- Inputting data to keep internal spreadsheets and registers up to date
- Completing Annual Reviews on Companies. This entails analysing the Company’s activity, structure, due diligence and overall risk
- Completing reviews on agreements
- Performing a risk analysis on debits and credits to ensure they are compliant
- Keeping track of outstanding due diligence request and staying on top of chasing documents consistently
- Following up on Power of Attorney’s to ensure we receive copies of all documents signed
- Carrying out reviews on Power of Attorney’s to ensure they are compliant
- Completing internal risk assessments for the MLRO
- Completing director risk assessments for directors
- Answering telephone calls and directing to the right person
- Preparing the relevant indemnities for signature (bank, mixed director, PSC)
- Preparing additional ad-hoc documents for clients to ensure compliance as and when required

**5.** **Systems**
- Jobstream
- World Check
- Overnight Screening
- Sanction search
- Microsoft Office
- BambooHR

**Job Types**: Full-time, Permanent

**Salary**: £22,500.00-£25,000.00 per year

**Benefits**:

- Casual dress
- Company events
- Gym membership
- Private medical insurance
- Work from home

Schedule:

- Monday to Friday
- No weekends

Supplemental pay types:

- Performance bonus

Work Location: In person

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