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    Assistant Compliance Officer JD

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    The Assistant Compliance Officer provides support to the Head of Compliance and Compliance team. Their responsibilities include assisting with customer due diligence reviews, undertaking client screening and ongoing monitoring, reviewing outputs from screening activities, and engaging with stakeholders to improve compliance processes. The role also involves assisting with internal monitoring, supporting regulatory inspections, and maintaining compliance registers. The ideal candidate will have experience with client due diligence and screening, as well as a knowledge of anti-money laundering regulations and compliance qualifications.

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    Assistant Compliance Officer JD

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    D
    11 views3 pages
    The Assistant Compliance Officer provides support to the Head of Compliance and Compliance team. Their responsibilities include assisting with customer due diligence reviews, undertaking client screening and ongoing monitoring, reviewing outputs from screening activities, and engaging with stakeholders to improve compliance processes. The role also involves assisting with internal monitoring, supporting regulatory inspections, and maintaining compliance registers. The ideal candidate will have experience with client due diligence and screening, as well as a knowledge of anti-money laundering regulations and compliance qualifications.

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    The Assistant Compliance Officer provides support to the Head of Compliance and Compliance team. Their responsibilities include assisting with customer due diligence reviews, undertaking client screening and ongoing monitoring, reviewing outputs from screening activities, and engaging with stakeholders to improve compliance processes. The role also involves assisting with internal monitoring, supporting regulatory inspections, and maintaining compliance registers. The ideal candidate will have experience with client due diligence and screening, as well as a knowledge of anti-money laundering regulations and compliance qualifications.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    11 views3 pages

    Assistant Compliance Officer JD

    Uploaded by

    D
    The Assistant Compliance Officer provides support to the Head of Compliance and Compliance team. Their responsibilities include assisting with customer due diligence reviews, undertaking client screening and ongoing monitoring, reviewing outputs from screening activities, and engaging with stakeholders to improve compliance processes. The role also involves assisting with internal monitoring, supporting regulatory inspections, and maintaining compliance registers. The ideal candidate will have experience with client due diligence and screening, as well as a knowledge of anti-money laundering regulations and compliance qualifications.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    of 3

    JOB DESCRIPTION

    ASSISTANT COMPLIANCE OFFICER

    JOB IDENTIFICATION

    Job Title: Assistant Compliance Officer

    Reports To: Head of Compliance

    Department: Compliance

    Persons to be supervised: None

    THE ROLE

    Purpose:
    The Compliance team provides an essential service to Appleby by providing an advisory service to firm
    personnel and by monitoring firm activities to enable it to comply with the relevant laws, regulations and
    internal policies.

    The Compliance team is required to work with the firm to identify and manage its risk exposure by ensuring
    that the systems and controls which exist are effective and relevant in order to protect the firm from both
    internal and external risk factors, whilst encouraging a culture of compliance and ethical standards.

    The purpose of the Assistant Compliance Officer role is to provide support to the MLRO/MLCO and firm by
    conducting the allocated responsibilities in an accurate and timely manner. The role will involve completing
    duties for the Jersey office, with occasional support for the other Crown Dependencies and the Group as
    needed.

    Principal Duties and Responsibilities

    • Comply with all relevant internal policies and procedures

    • Assist with Customer Due Diligence (CDD) reviews including trigger events and Politically

    Exposed Persons (PEPs), Sanctions and Liaison notices.

    1
    JOB DESCRIPTION

    • Undertake client screening and ongoing monitoring to include Conflict Checks, background or

    equivalent searches

    • Review the output generated by the screening and monitoring activities to decipher the

    information which should be communicated to the fee earners

    • Engage with key stakeholders of the firm, including other Appleby offices to build solid

    relationships, improve processes, share knowledge and develop a compliance culture

    • Assist with conducting Internal Monitoring (CMP) of adherence to internal policies

    • Continuous process improvement and sharing best practice

    • Support with regulatory, audit and similar inspections

    • Undertake Continuous Professional Development (CPD)

    • Maintain Compliance Registers

    • Perform ad hoc tasks as required

    Knowledge, Skills and Experience Required


    Essential

    • Knowledge, understanding of the Jersey Financial Services Anti-Money Laundering Handbook

    • Excellent attention to detail

    • Self-motivated with an appetite to learn

    • Effective communication skills

    • Planning and organisational skills

    • Flexible, reliable, committed

    • Team player, efficient

    • Customer focused

    • Analytical

    • Assertive

    Preferred

    • Previous experience of processing client due diligence in a regulated or supervised environment

    applebyglobal.com 2
    JOB DESCRIPTION

    • Previous experience of client screening and monitoring activities

    • Willingness to undertake a compliance qualification

    • Experience of Aderant, InTake, background searching software, Microsoft Office and Adex systems

    • General interest in the regulatory environment and current affairs

    applebyglobal.com 3

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