Our client is seeking a Compliance Assistant to provide day to day compliance administration support and monitoring services to both licensed investment business and fiduciary business, to include the following:
- Compliance advice and support – assist with queries from the business regarding AML/CFT obligations of the business and its clients
- Compliance Monitoring Programme (“CMP”) – assist the MLCO with the development and maintenance of the CMP
- Compliance monitoring – undertake the tests within the CMP and update reports of the findings from the compliance monitoring programme. Monitor outstanding Action Points from the CMP;
- Compliance registers and logs - maintain and update various compliance registers and logs including, but not limited to, logging any regulatory breaches and/or complaints and monitoring to ensure that they are resolved and reported on appropriately
- Business Risk Assessment – assist with the maintenance and updates of Business Risk Assessments
- Compliance and AML/CFT policies and procedures – assist in establishing and maintaining policies, procedures and controls. Also support the implementation of these policies and procedures.
Applicants must have 2-3 years relevant experience in private equity/venture capital and fund/investments, hold a ICA Certificate in AML or Compliance (or equivalent qualification) and have a good knowledge of compliance and the regulatory and AML/CFT environments.