Assisting in establishing and maintaining governance and controls to
ensure organisational compliance
- Provide subject matters expertise for AML escalations including new client onboarding cases.
- Provide guidance on queries relating to new or existing clients with overseas connections.
- Assist with teams AML periodic review schedule of high-risk clients.
- Review and elevate AML “trigger events” to DMLRO.
- Assist with AML escalations on an advisory basis. This will also include helping with onboarding escalations and reviewing new client cases.
- Assist in data collation/stats to submit relevant regulatory disclosures and management
- information.
- Assist with management information and reports.
- Assist with maintenance of AML record keeping such as AML client risk registers and disclosure logs.
- Assisting colleagues, DMLRO with maintenance of the AML risk appetite framework and relevant
- Assist in developing and embedding AML policies and procedures within the firm to ensure they remain in line with regulatory expectations.
- Provide assistance and support to market abuse function
General Compliance & Reporting
- Assist in various aspects of Department’s administration, providing cover and support to other members of the Compliance team when necessary, including financial promotions,
- Assist with the Complaints reporting process and associated reporting.
Experience
- Essential: Understanding of the scope of the UK Regulatory Environment and practical experience of applying knowledge, gained in a relevant role.
#J-18808-Ljbffr
Financial Crime Analyst employer: Austin Andrew
As a Compliance Analyst at our boutique compliance consultancy, you will thrive in a dynamic work culture that values collaboration and professional growth. With a global footprint and a focus on the investment management sector, we offer unique opportunities for meaningful engagement with clients while providing comprehensive training and support to enhance your expertise in regulatory compliance. Join us to be part of a team that prioritises employee development and fosters strong client relationships in a vibrant and supportive environment.
