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The role holder will be part of the Compliance team and will be responsible for undertaking compliance monitoring and day-to-day compliance activities; helping to ensure that the Company complies with all regulatory requirements, including global tax compliance and financial crime legislation.
As a Compliance Assistant, you will:
* Undertake compliance monitoring in accordance with the Compliance Monitoring Programme and as appropriate monitor corrective actions;
* Review financial promotions, company’s and partner’s website and provide approval. Ensure staff in business departments are aware of, and adhere to, the Company’s policies on financial promotions;
* Ensure the application of the following processes:
* AML/KYC processes;
* Sanction and PEP screening;
* Global tax compliance legislation (AEOI/FATCA);
* Review customer complaints, claims and litigation, investigate where appropriate, and work with staff in business departments to ensure compliance with Company policies on customer complaints;
* Have day-to-day awareness of legal risks applicable to the business and work with Group Legal function and external counsel to ensure smooth and timely delivery of legal matters;
* Provide legal, regulatory & compliance advice to the business;
* Maintain awareness of legal and regulatory developments; providing analysis and assessment where required.
* Promote a culture of compliance within the firm to minimise risk and ensure regulatory standards and personal responsibilities are understood by all staff
* Assist with the internal compliance training programme including the organisation and delivery of online training modules and ad hoc face-to-face training where appropriate
* Preferred: Assist with the translation of ad hoc documents in Italian or Spanish language as and when needed by the Compliance Department
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