04 Aug 2021

Compliance Officer

Ref 33744

A leading Investor Services group is seeking a Compliance Officer to join their team, to coordinate and execute day to day administrative and legal formalities; meeting their legal and contractual requirements ensuring the business complying or in compliance with Company law.

The role holder will assist with New Business Acceptance Committee processing, setting up the forms before take on, filing forms and notes post take on, providing assistance with CDD reviews and updating the CMP spreadsheet.

The Compliance Officer will work closely with the Compliance Team supporting them to ensure that risks are managed appropriately. They will assist with Compliance Monitoring Programme (CMP) tests and they will monitor, update and escalate any open items on the Compliance Monitoring Programme (CMP) schedule.

The desirable candidate for this role will have an eye for detail, great communication skills, have strong organisational skills and have previous compliance administration experience.

 

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