08 Oct 2019

Compliance Administrator

Ref 32689

A provider of fiduciary services is looking to recruit a Compliance Administrator to carry out general Compliance and Statutory duties in an efficient, accurate and timely manner.

Key duties:

  • Responds positively and promptly to client demands. 
  • Provides consistent high-quality service to clients. 
  • Responds constructively and positively to feedback, challenges and negative non-verbal cues from clients.
  • Successfully carry out statutory reviews of clients’ records as scheduled and on target using the Statutory Review automated system. 
  • Process New Business packs. 
  • Monitor and chase all ongoing client due diligence (“CDD”).
  • Process Client profile Sheets and Structure Charts.
  • Process Power of Attorney’s and maintain the POA Register ensuring information is current and correct. 
  • Safe Keeping filing, book room filing and in-house filing. 
  • Reconcile Safe Keeping records on a quarterly basis. 
  • Dead filing of CDD. 
  • Archiving as appropriate.
  • Monitor and maintain Compliance Office Procedure Manual. 
  • Closures – Apply a 4-eyes check for all closures. 

The ideal candidate would have completed a first level Introductory ICA Certificate in Compliance and ICA Certificate in Financial Crime Prevention and the Intermediate level ICA Advanced Certificate in Managing Fraud and will be looking to advance their career further by undertaking a further higher-level ICA qualification.

Applicant must have the following skills:

  • Minimum of 5 GSCEs, including Maths and English at C grade or above.
  • Have gained 2.5 years of general compliance experience and successfully completed the ICA Certificate in Compliance at Introductory level, achieving a distinction. 
  • Good communication skills and ability to develop effective relationships at all levels.
  • Effective organisational and planning skills.
  • Accuracy and attention to detail.


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