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Compliance Assistant (O910778)

Douglas, Isle of Man

Accounting & Finance

£27,000 - £35,000 per annum

Full time / Permanent

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Job description


Our Client, a large firm of Chartered Accountants and TCSP is seeking a Compliance and Data Protection Assistant to join their busy general accountancy practice and fiduciary service provider.

Role Profile

  • Assisting the Compliance Officer with all aspects of client compliance
  • Ensure the information held on each client complies with our office procedures
  • Perform regular compliance reviews
  • Ensure compliance procedures are met for new business
  • Identify any high-risk clients or Politically Exposed Persons (PEPs) and run sanctions checks
  • Perform regular monitoring of high-risk clients
  • Assist the MLRO in implementing FATCA/CRS compliance and reporting
  • Act as an independent review on the Company's client risk profile
  • Keeping up to date with regulation and assisting the Board with regulatory consultations
  • Monitoring and reconciling client money
  • Trust account reconciliations
  • Eligible Introducer monitoring and visits
  • Liaising with banks regarding our Eligible Introducer Status
  • Monitoring safe custody
  • Maintaining the compliance registers
  • Maintaining and reviewing the firm's policies and procedures
  • Keep up to date with regulation to ensure our policies and procedures remain current
  • Preparation of quarterly compliance reports for the Board and attendance at the quarterly compliance meetings, writing up the minutes and following up matters arising
  • Exception reporting and monitoring
  • Assisting the Deputy MLRO and MLRO to ensure compliance with AML/CFT legislation and guidance
  • Prepare arrange and implement Anti Money Laundering Training as required
  • Assist with the implementation and supervision of data protection procedures
  • Prepare arrange and implement Data Protection Training as required
  • Assist the Deputy MLRO and MLRO to ensure the firm is compliant with all AML/CFT legislation and guidance
  • Maintain and review procedures as required

Person Profile

  • Strong 'A' levels with previous experience of compliance in a regulated entity
  • An excellent communicator with strong organisational skills who can liaise with staff at all levels to ensure compliance procedures are met in the required timescale
  • Discretion, diplomacy and a confident approach are a must
  • Willing to take on responsibility and ownership of tasks
  • Attention to detail
  • Professional qualifications in compliance and / or data protection an advantage

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