COMPLIANCE ASSISTANT (CHARTERED ACCOUNTANCY FIRM) – NEED EXPERIENCE IN AN AML/KYC OR BROADER COMPLIANCE DEPT (WHETHER FINANCIAL SERVICES, ACCOUNTANCY OR LAW FIRM)
£35,000 + good benefits & bonus Hybrid Manchester
REF:4208D
Our client, a leading firm of Chartered Accountants regulated by the ICAEW, is now seeking a Compliance Assistant to assist the Head of Compliance & Risk (and firm's MLRO). In a varied role duties will include;
- Assist the compliance team with administrative tasks arising from ICAEW practice assurance, AML and other regulatory obligations
- Assist with the annual practice assurance reviews, including client money & AML.
- Help prepare documentation and evidence files for regulatory monitoring visits and submissions
- Support the maintenance of compliance registers, including the conflicts of interest log, independence declarations and AML client records
- Monitor regulatory mailboxes and route correspondence to the appropriate Partner or team member.
- Conduct research on regulatory topics as directed by Partners and the compliance team
- Summarise relevant changes to legislation, regulation or professional guidance for internal circulation
- Support the client onboarding process, including collating and reviewing client due diligence documentation
- Assist with enhanced due diligence on higher-risk clients and maintain accurate records in line with the firm's AML procedures
- Help administer the firm's client risk assessment process and follow up on outstanding documentation
- Provide general administrative support to Partners and Directors on risk and compliance matters
- Maintain accurate filing and version control across all compliance documents
- Support the preparation of board papers, committee packs and internal reports relating to compliance matters
- Assist with ad hoc projects across the risk and compliance function as required
- Assist with Data protection queries, breaches and data subject access requests• Undertaking risk management responsibilities, including risk meetings and the updating of risk registers
- Assist with the compliance due diligence in relation to mergers and acquisitions
- Review and update terms of business for governance boards and committees
You should have previous administrative experience in an AML/KYC or broader Compliance team whether from Financial Services or similar Professional Services (accountancy or law) looking to develop your experience in the growing field of Professional Services Compliance (and be willing to learn ICAEW regulatory requirements whilst still happy assisting in some basic administrative tasks).You should have at least A-levels or equivalent and whilst a degree may be advantageous, more important are good interpersonal skills, comfortable working with Partners and team members at all levels, whilst professional and discreet in handling sensitive or confidential matters.
NB The role is3d pw in their very central Manchester office (15 min walk from Piccadilly or Victoria) though could be based in their North Midlands office too (just off the M6 between Birmingham & Manchester)
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at
david@compliancerecruitment.com (including contact no) however please note we cannot reply to all
applications so only successful applications will be contacted (although under no circumstances are
your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.