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Compliance Associate (6 months FTC)

The Agency
Closing date
16 Sep 2021

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Contract Type
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Compliance Associate (6 month FTC)

Up to £32,000 pa, pro rata dependent upon skills and experience

Leeds 1


Compliance Associate - 6 month FTC

Our client is a fast growing, dynamic business with market leading positions across all their areas of expertise - funds, market services, corporates and private client, and banking and credit management services.

With offices across the UK and Europe we are part of a large organisation who are headquartered in Australia. A truly global organisation, they provide a strong platform to realise their growth ambitions and continue to build on their success.

Our client feels that you can play a key part in this as they recognise the importance of supporting and developing their people, so they listen to colleagues, train their teams and invest in great working environments. Add to that a culture that champions respect and integrity, a diverse and inclusive colleague base and a commitment to positively influence the communities they work with, and you'll get a flavour of life here should you be successful in securing this role.

The role is a 6 month FTC and will require the successful candidate to assist the Financial Crime Compliance team with monitoring reviews, data protection reviews and oversight, including, but not limited to, providing support to internal stakeholders where appropriate.

Key Accountabilities and Main Responsibilities
  • Review of AML reports & risk mitigation processes, including the preparation of written reports/recommendations
  • Investor identity review and assessments to determine appropriate 'next steps' in the due diligence process
  • Review of Politically Exposed Persons and associated parties, including report writing with findings and recommendations
  • Escalating issues as they arise to management, together with assessments/recommendations
  • Review of screening outputs and making recommendations and/or progressing further
  • Ad-hoc duties as same relates to financial crime risk mitigation
  • Assisting with data protection issues, including subject access requests or other privacy related matters
  • Ad-hoc duties as same relate to data protection
  • Understanding the role of the Authorised Corporate Director (ACD); the company's regulatory obligations as ACD either directly or on a delegated basis, and the business implications.

Each member of staff has responsibility to adhere to the companies' policies and procedures. In particular, to ensure operational controls are carried out in accordance with laid down procedures, to ensure the ongoing mitigation of business risk. In this regard regular training will be offered and agreed with the departmental manager / team leader.

Essential Experience & Personal Attributes Required:
  • Financial Crime experience essential (2yrs+ but will also consider exceptional candidates
  • Understanding of AML processes and controls
  • Knowledge of regulatory and legislative environment including JMLSG
  • Proven record in GDPR and DPA oversight and guidance
  • Ability to analyse and problem solve
  • Ability to communicate at all levels
  • Ability to audit records/identify deficiencies and escalate findings in a timely manner
  • Good written and verbal communication skills
  • Good IT skills (Word, Excel, PowerPoint)
  • Ability to explain and justify findings to management
  • Clear report writing skills
  • Ability to manage own workload
  • A proven background in a similar financial services role

Benefits of working for our client include:
  • A fabulous and prestigious city centre location within walking distance of the train and bus stations and city centre car parking
  • Working for a company that value their employees, helping everyone to achieve success professionally and personally
  • A competitive compensation and benefits package
  • 37.5 hour working week, Monday to Friday - 9.00am - 5.30pm with an hour for lunch
  • 23 days holidays which increases in-line with service
  • Benefits include pension scheme, life cover and the opportunity to opt-in to additional benefits such as Private Medical Insurance, Dental Insurance, Childcare Voucher Scheme etc.

GDPR Disclaimer: Please appreciate that whilst we review all CVs and applications, due to the high volume that we receive on a regular basis, we only respond to candidates that have been successful with their application. As such, if you do not hear from us within 14 working days, please accept that your application has been unsuccessful. Additionally, please note that sending a CV does not constitute a registration with THE Agency (Recruitment) Limited. In line with GDPR we will permanently delete information for all unsuccessful applications, and we will not keep candidate information on file for future vacancies at this stage of our process.
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