This role involves a variety of compliance and regulatory analysis administration tasks and responsibilities.
Responsibilities will include data entry, file review and analysis in relation to client structures. This role reports to the Compliance Manager.
Duties will include:
- Responsibility for conducting compliance monitoring activities in accordance with the Compliance Monitoring Plan, assess levels of and adequacy of compliance, and produce compliance review reports for senior management, as required;
- Encourage staff to comply with regulations and standards and provide advice and guidance on what is required to comply, what constitutes good practice within a regulated environment, and how this is translated into operational areas;
- Undertaking and reviewing due diligence in relation to structures and changes to existing structures.
- Scrutinising, interrogating and updating compliance records in relation to client structures;
- Liaison with Business Coordinator to run reports and check data entry records on Viewpoint;
- Responding to internal queries regarding compliance issues;
- Liaising with internal contacts regarding the production of compliance reports;
- Undertaking training of staff as appropriate in relation to the compliance function within the company;
- Undertaking training in respect of compliance and risk evaluation in order to improve knowledge and skills and maintain currency of knowledge in accordance with regulation standards;
- Identify and investigate issues or trends which may adversely affect business compliance and propose any necessary action to promote business improvement.
- Carrying out risk assessments for client structures;
- Assist with external reporting requirements, including FATCA and CRS;
- Assist with the maintenance of compliance registers (including PEP, Incident and Errors, Breaches, Conflicts of Interest);
- Acting as limited authorised signatory in respect of risk assessments;
- Any other related duties that may be required by a Director from time to time.