Role purpose:
To provide assistance to the Data Management Team in the maintenance and integrity of the various database. To assist in ensuring that timely and accurate reports can be obtained from the database for Board and Management information purposes, National Risk Assessments, FATCA/Common Reporting Standard reporting and other ad-hoc requirements. To provide support to ensure that the National Risk Assessment returns are submitted accurately and on time.
To provide support to ensure that the FATCA/CRS returns are submitted accurately and on time.
To provide assistance to the Compliance Team in demonstrating and maintaining an effective compliance culture across the range of regulated services, and to provide assistance to all staff, relating to compliance issues, providing information, guidance and support where appropriate. To provide assistance where required with the implementation, record keeping and reporting of the Compliance Monitoring Programme and Compliance registers and other compliance functions. #### Core responsibilities:
**Data Management Team
**
- Assist the Data Management Administrator with input, maintenance or reporting of data held within the various databases, ensuring that it is accurate and correctly recorded.
**Compliance Monitoring Program **
- Assist the Compliance Monitoring Administrator with monitoring and reporting per the Compliance Monitoring Programme schedule for the regulated entities, the managed entities and funds.
- Assist with the maintenance of relevant CMP records and compliance registers.
**New Business Take-On **
- Assist the Compliance Team in collating relevant documentation for the client files.
- Attend to associated processes including:
- Update of Compliance registers.
- Checking for presence or absence of key documents.
**Client Diligence Monitoring Systems
**
- Assist with investigations and clearances of alerts from the regular client database scans.
**General Responsibilities
**
- Ongoing updates and maintenance of compliance/operational registers and providing information to the Money Laundering Compliance Officer (“MLCO”) and Money Laundering Reporting Officer (“MLRO”) for reporting purposes.
- Provide assistance as required to the MLRO and Deputy MLRO.
- Assist with the compilation and provision of information and/or documentation to relevant appointed parties, or business relationships such as banks, investment houses etc.
- Assist the Assistant Manager, Compliance as required.
- Assistance with any ad-hoc or Business as Usual compliance tasks identified.
Technical / Professional / Qualification Requirements:
- Educated to A-Level standard;
- Willing to study towards an appropriate professional Compliance qualification;
- Good level of judgement and logical approach to problem solving;
- Excellent personal skills to be able to deliver compliance guidance to the business;
- Excellent oral and written communication skills;
- Strong organisational skills and ability to work to deadlines;
- High level of accuracy and attention to detail;
- Proficiency in Microsoft Office.