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Compliance Associate

  • Location: London
  • Sector: Compliance
  • Salary: £25000 - £28000 per annum
  • Job type: Permanent
  • Date posted: 03/10/2017
  • Job reference: 28128

This highly prestigious firm provides support services to the investment management community

Responsibilities:

 Accurately maintaining logs necessary to provide management information as part of AML compliance framework;

 Monitoring assigned compliance inbox and responding to emails in a timely manner;

 Carrying out AML / CDD checks on new and existing customers including: o Obtaining documentary evidence of identity in line with AML / CDD policy and Joint Money Laundering Steering Group ("JMLSG") guidance; o Carrying out sanctions / PEP screening on new and existing customers; o Carrying out initial risk assessment and o Carrying out Enhanced Due Diligence Checks.

 Ensuring that all AML CDD files are adequately maintained for existing and new customers.

In addition to the duties listed above, the individual may be requested to perform other ad-hoc duties or projects as requested and as experience is gained.

Skills Required:

The successful candidate will:

 Be familiar with the UK's money laundering regulations, JMLSG Guidance and FCA's Financial Crime Handbook;

 Have, or be willing to undertake studies to obtain, an ICA compliance qualification;

 Be a critical thinker with excellent problem solving abilities;

 Have excellent interpersonal, organisational and written / oral communication skills;

 Have a thorough understanding of Microsoft Word, Excel, Outlook and Access as well as industry leading screening tools

 Have an ability to accurately present information and respond to questions from groups of managers and clients;

 Have prior experience carrying out AML / CDD or ODD checks, and


Desirable:  Be fluent in French, German or Dutch;  Experience building an MS Access database would be a bonus.

Please note that the client is unable to progress applications from candidates who require sponsorship under Tier 2 General visa

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