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- Tasks: Support the Compliance Team with client due diligence and conflict checking.
- Company: Join a well-established professional services company with a strong reputation.
- Benefits: Enjoy a collaborative work environment and opportunities for professional growth.
- Why this job: Make an impact in compliance while developing your skills in a dynamic team.
- Qualifications: Experience in a Compliance Officer role and knowledge of AML regulations required.
- Other info: Ideal for those with a background in legal or professional services.
Our client, a well-established professional services company, is currently recruiting a Senior Compliance Officer to join their Compliance team. The Senior Compliance Officer will be responsible for supporting the Compliance Team Leader and the wider team in providing efficient and effective client due diligence (CDD), conflict checking services, and client and matter file creation.
Key Responsibilities for the Senior Compliance Officer:
- Liaise with and provide appropriate guidance to teams regarding file opening and the CDD process
- Completing and analysing conflict check reports and escalating when required
- Using the company file opening request system and processes, ensuring full and accurate data is provided to complete the CDD process, including managing the outstanding CDD process
- Carrying out file opening quality audits and spot checks on files to ensure the procedures have been followed
Skills Required for the Senior Compliance Officer:
- Proven experience working in a Compliance Officer role
- A good understanding of Anti-Money Laundering (AML) Regulations and the wider CDD requirements and process, including identifying and tracing ownership of client structures, PEPs and Sanctions
- Ability to make decisions independently but with a clear understanding of when to escalate to management
- A background in the legal or other professional services sector is desired
- Strong communication skills
Please apply as directed.
Senior Compliance Officer employer: Clearwater People Solutions
Contact Detail:
Clearwater People Solutions Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer
✨Tip Number 1
Familiarise yourself with the latest Anti-Money Laundering (AML) regulations and client due diligence (CDD) processes. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals in the compliance and legal sectors. Attend industry events or join relevant online forums to connect with others who can provide insights or even refer you to opportunities within their organisations.
✨Tip Number 3
Prepare for potential interview questions by practising scenarios related to conflict checking and CDD processes. Being able to articulate your thought process and decision-making skills will set you apart from other candidates.
✨Tip Number 4
Research the company’s values and recent developments in their compliance practices. Tailoring your conversation during interviews to align with their goals will show that you are genuinely interested in contributing to their team.
We think you need these skills to ace Senior Compliance Officer
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities of a Senior Compliance Officer. Familiarise yourself with client due diligence (CDD) processes and Anti-Money Laundering (AML) regulations, as these are crucial for the role.
Tailor Your CV: Highlight your relevant experience in compliance roles, particularly any work related to CDD and AML. Use specific examples that demonstrate your ability to handle conflict checks and file audits effectively.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the position and the company. Discuss how your background in the legal or professional services sector aligns with the job requirements, and mention your strong communication skills.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. Ensure that all information is accurate and clearly presented, as attention to detail is vital in compliance roles.
How to prepare for a job interview at Clearwater People Solutions
✨Know Your Compliance Regulations
Make sure you have a solid understanding of Anti-Money Laundering (AML) regulations and client due diligence processes. Be prepared to discuss how these regulations impact your previous roles and how you've applied them in practice.
✨Demonstrate Decision-Making Skills
Be ready to provide examples of situations where you had to make independent decisions regarding compliance issues. Highlight your thought process and when you deemed it necessary to escalate matters to management.
✨Showcase Your Communication Skills
As a Senior Compliance Officer, strong communication is key. Prepare to discuss how you've effectively liaised with different teams in the past, providing guidance on file opening and CDD processes.
✨Prepare for Quality Audits Discussion
Since quality audits and spot checks are part of the role, be prepared to talk about your experience with conducting audits. Discuss any challenges you faced and how you ensured compliance with procedures.
