Compliance Executive

Do you have an interest in Financial Services and administration? Can you work with accuracy and meet deadlines?

We are actively looking for a brand new Compliance Executive to join an established and prominent employer in Bath.

We’re looking for someone who’s organised in their approach and can follow process for a number of compliance lead processes.

You’ll play a key role in the ensuring compliance requirements adhere to legal regulations, industry standards best practices, aswell as internal procedures.

This role is reporting in to a Senior Compliance Manager and full training for the duties can be provided.

This role is offered with hybrid working – 3 in office and 2 at home once trained.

DAY TO DAY

Working alongside the Senior Compliance Manager to ensure provision of general compliance advice across the group

Actively take ownership of 2 x departmental in boxes

Ensuring all queries are managed and dealt with in the agreed timescales

Taking responsibility for routine PEPs and Sanctions screening, escalating non-routine findings

Escalating end-to-end complaints (eg investigations and final response letter)

Helping with compliance training programme to include assigning employees to modules, monitoring and reporting on completion of training modules across the group

Dealing with all queries re training related enquiries

Building strong relationships across all functions & supporting Senior compliance manager when required

Liaising with Compliance Advisory Agency, e-learning provider and Trade bodies

WE WOULD LOVE TO SEE

Excellent accuracy and attention to detail

Good interpersonal skills and an ability to work collaboratively

Any exposure to AML, KYC, PEPs, DSAR is preferable but not essential

AND FOR YOU

26 days holiday

Health cash plan

Private pension

Team social events, including lunches and quarterly events

Work from home 3 in office and 2 at home once trained

Opportunity to pursue a qualification within Compliance