Job Purpose Summary:

To support the Compliance Manager and MLRO in monitoring and controlling the firm’s regulatory risks for Anti Money Laundering, Data Protection and other industry regulatory areas (including FCA, Property Ombudsman and RICS) across Financial Services, Residential and Commercial Sales and Lettings Agency and Survey and Valuation teams. 

Job role

Assist with complex KYC/CDD queries from different business divisions.  Using different screening software and research skills to verify KYC/CDD and potential matches for PEPs, Sanctions and adverse media.  Conducting more in depth Enhanced Due Diligence for high-risk clients including source of funds and source of wealth checks. 

Assist with Data Protection queries, including dealing with Data Subject Access Requests and Data Breaches and keeping accurate records for all responses, risk assessments and impact assessments. 

Scope and undertake monitoring reviews across different business divisions to ensure compliance with regulatory requirements.

Conduct ongoing file reviews for the Financial Services division post-sale reviews of client files to ensure advice suitability and regulatory compliance. Providing feedback to advisers in a supportive and professional manner and monitoring outstanding actions. 

Provide Management Information in a timely and accurate manner covering outcomes from monitoring reviews.

Review regular marketing material for financial services to ensure compliance with regulatory requirements.

Organise regulatory training sessions for new joiners and refresher sessions for existing employees.

Assist with investigating and responding to Financial Services and Data Protection related complaints and keep complaints records up to date.

Undertake reporting to the NCA and FCA.

Keep up to do date records for Structure charts, job descriptions, breaches registers, complaints registers, marketing approvals.

Skills required

Minimum (£25k)

·         Educated to degree level (preferably Law)

·         Happy to work towards other professional qualifications (CISI or ICA)

·         Good analytical and decision-making skills

·         Confident dealing with colleagues at all levels within the business

·         Ability to prioritise and good time manage

·         Proficient in Microsoft Office suite

·         Good report writing

Desirable (upto £35k)

·         2+ years compliance experience with a strong knowledge and understanding of either FCA or GDPR requirements

·         Professional qualification (either CISI, ICA or CeMap)

·         Experience carrying out compliance monitoring reviews

·         Experience with either AML or Data Protection regulations

·         Some knowledge of FCA reporting platforms (Connect or Reg Data)

Benefits

• 'Do good' fund for monthly team incentives and outings & company events participation.

• 22 days annual holiday plus all Bank Holidays

• Birthday day off.

• Discretionary end of year profit share (subject to qualifying period)

• Quarterly rewards meetings.

• On going training and development.

Working hours - Full time Monday to Friday 8.30am – 5.30pm
Salary - £25,000-£35,000 pa depending on experience/qualifications