Compliance Assistant

15. October 2019

Our client is an independent, owner-managed, group of companies providing a wide range of bespoke professional services to private individuals, families and international corporate clients. They currently have an exciting opportunity available for a Trainee Compliance Assistant.
Job Purpose

Assist the Senior Manager in all aspects of Compliance and anti-money laundering functions as required in order to assess, evaluate, report and minimise risk within the business. Assist with the monitoring of various functions against procedures to ensure compliance with various regulatory requirements. Perform compliance related administrative tasks, maintain registers and undertake compliance monitoring and new business checks in accordance with Company procedures.

Principal Functions:

Data Control

• Maintain new/lost business data
• Assist loss of business/entity closure
• Quality control of client database
• Acumen amendments/Reporting
• Maintain audit log checks

PIFM monitoring programmes covering:

• Law & regulation
• Client related risk
• Procedures/Processes
• Information security

New Business

• Assist with client acceptance
• Undertake Internet checks/ world checks
• Assess customer due diligence documents
• Review client/entity risk ratings
• Inputting & vetting individual, corporate & trust CDD


• Maintain registers as required


• Appendix D jurisdiction reviews
• Scan documents as necessary
• Assist with Compliance system updates
• Update Compliance procedures
• Maintain Compliance files
• Archive Compliance files and records
• Undertake projects as required
• Deal with Compliance related correspondence
• Provide assistance when updating P&P
• Assisting with presentations
• Any other ad hoc administration tasks as required

Required skills

• Educated to a minimum GCSE standard
• Good communication and interpersonal skills
• Good report writing skills
• A sound knowledge of Microsoft Office programs Word and Excel

Requirements – Personal development

• The Trainee Compliance Assistant will be enrolled on a suitable professional qualification course, such as ICSA, in order to develop an understanding of corporate governance and the compliance thereof
• Attend seminars and workshops and read industry publications to enhance professional and technical knowledge
• Shape own development by identifying areas to improve own knowledge and skills and actively seek assistance
• Develop techniques for coping with time / deadline pressures;
• Maintain evidence of continuing professional development in accordance with current requirements

For more information please contact the Perm team on 500000.

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Permanent Team

For more information on this role or any other permanent positions, please call the Perm Team on 01534 500000 or click the "Enquire Now" button above to request more details.

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