Assist with the review of potential new clients, including reviewing new business take-on forms, client due diligence profiles, risk assessments, client identification documents and other documentation as appropriate;
Analyse and process compliance related forms;
Assist with the maintenance of compliance files, registers, monitoring spreadsheets and/or databases;
Attend internal / relevant meetings, as required;
Assist with the preparation of compliance related management information and reports;
Consider or suggest ways of improving internal procedures and practices encountered whilst performing principal responsibilities and assist with their implementation;
Provide back up support and assistance to other members of the Compliance team as and when appropriate;
Assist employees with queries that may arise on regulatory, AML/CFT/CPF and regulatory matters;
To champion a compliance culture within the Fairway Group;
Provide cover for other compliance members of staff, during periods of absence; and
Assist with or carry out any other projects as requested from time to time, as appropriate.
General Responsibilities
Develop and maintain good relations with staff members;
Ensure all work is conducted in accordance with internal procedures;
Maintain the highest standards of confidentiality and security in terms of client affairs and records;
Complete daily timesheets;
Monitor performance against personal and developmental targets;
Identify areas where further training would be beneficial and bring these to the attention of the Director & Head of Risk & Compliance;
Maintain a record of Continuing Professional Development activity undertaken during each year;
Undertake anti money laundering training as required by internal procedures; and
Maintain an awareness of regulatory and compliance related legislation and guidance in general.
IT Skills
The role will involve intermediate to advanced experience of:
Microsoft Office – mainly Word, Excel and Outlook;
General client database and CRM software;
Google and/or other Internet search engines; and
Any other IT system deemed to be necessary for the role.
Competencies
Possess a relevant professional compliance qualification;
Minimum of 5 years’ financial services industry experience in a Trust, Funds and Company compliance environment;
Have a good understanding of anti-money laundering and client due diligence requirements for
a financial service business and its Clients;
Be methodical and have excellent attention to detail;
Be self-motivated, adaptable and flexible in approach to the work;
Have good organisational skills and be able to organise their time effectively; and
Be a team player and confident in dealings with others.