At a Glance
- Tasks: Support compliance framework focusing on anti-money laundering and data privacy.
- Company: Join a dynamic organisation committed to compliance excellence.
- Benefits: Flexible work location, competitive salary, and opportunities for professional growth.
- Other info: Collaborative team culture with a focus on learning and development.
- Why this job: Make a real impact in compliance while developing your career in a supportive environment.
- Qualifications: Understanding of AML principles and data protection; strong organisational skills.
The predicted salary is between 30000 - 40000 £ per year.
Primary Purpose of Role
The Compliance officer will support the organisation’s compliance framework with a particular focus on anti-money laundering (AML) and data privacy. The role will help ensure that internal processes, records, and controls are maintained in line with relevant legal and regulatory requirements, including AML legislation, ICAEW regulations, and UK GDPR / Data Protection Act 2018 obligations. The postholder will provide administrative, monitoring, and reporting support to the compliance function and work closely with colleagues across the business to promote good compliance practice.
Key Responsibilities
- Assist with Client and third-party due diligence processes, including identification checks, verification of beneficial ownership, screening against sanctions and politically exposed persons (PEP) lists, and risk-based file reviews.
- Support ongoing AML monitoring activities, including periodic reviews, trigger event reviews, and maintaining accurate AML and know-your-Client records.
- Escalate unusual activity, incomplete information, or potential financial crime concerns to the Risk and Governance Director in a timely manner.
- Maintain AML registers, case logs, and supporting documentation to ensure records are complete, accurate, and audit ready.
- Support the administration of data privacy processes, including data subject rights requests, breach logging, records of processing activities, retention tracking, and policy updates.
- Assist with the review and maintenance of compliance policies, procedures, templates, and guidance notes relating to AML, financial crime, confidentiality, and data protection.
- Help prepare management information, dashboards, and routine reports on compliance activity, outstanding actions, incidents, and trends.
- Provide support for internal monitoring, file reviews, audits, and compliance testing exercises, including collating evidence and tracking follow-up actions.
- Respond to routine compliance queries from colleagues and direct more complex issues to the Risk and Governance Director.
- Support staff awareness initiatives by helping to coordinate training, reminders, and communications on AML, data privacy and ICEAW Regulatory requirements.
- Liaise with operational teams to ensure compliance actions are completed within required timescales and documented appropriately.
- Undertake general administrative and project support for the wider compliance function as required.
Person Specification
Knowledge and Skills:
- Good understanding of AML principles, Client due diligence, sanctions screening, and financial crime risk indicators.
- Awareness of data protection principles and the practical application of UK GDPR and the Data Protection Act 2018.
- Strong organisational and administrative skills with excellent attention to detail and accuracy.
- Ability to handle confidential and sensitive information with discretion and sound judgement.
- Good written and verbal communication skills, including the ability to produce clear records and concise reports.
- Competent in Microsoft Office applications and comfortable using compliance tools e.g. Companies House and Identity verification tools.
- Ability to prioritise workload, manage competing deadlines, and follow through on actions.
- A proactive and collaborative approach, with a willingness to learn and develop in a compliance environment.
Qualifications and Experience
- Previous experience within compliance, legal, risk, accountancy, or a regulated environment is desirable.
- Experience of AML, onboarding, data protection administration, or compliance monitoring would be advantageous.
- Demonstrable experience of maintaining accurate records and working with process-driven tasks is preferred.
Role Attributes
The successful candidate will be methodical, dependable, and capable of working with a high degree of accuracy in a confidential environment. They will demonstrate integrity, professionalism, and a genuine interest in developing a career in compliance, with particular exposure to AML and data privacy matters.
This job description is intended to provide an overview of the role and key responsibilities. It is not exhaustive, and the postholder may be required to undertake other duties appropriate to the level of the role in support of the organisation’s compliance objectives.
We are flexible where this role is based, either Worcester, Droitwich or Birmingham.
Compliance Officer in Droitwich employer: Ballards LLP
As a Compliance Officer with us, you will join a dynamic team dedicated to upholding the highest standards of compliance in a supportive and collaborative work environment. We offer flexible working arrangements across Worcester, Droitwich, or Birmingham, ensuring a healthy work-life balance while providing ample opportunities for professional growth and development in the fields of anti-money laundering and data privacy. Our commitment to employee well-being is reflected in our comprehensive training initiatives and a culture that values integrity and continuous learning.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer in Droitwich
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Ballards LLP looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Officer in Droitwich
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Ballards LLP. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Ballards LLP
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Ballards LLP’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
