Key Responsibilities for the Senior Compliance Officer:
- Liaise with and provide appropriate guidance to teams regarding file opening and the CDD process
- Completing and analysing conflict check reports and escalating when required
- Using the company file opening request system and processes, ensuring full and accurate data is provided to complete the CDD process, including managing the outstanding CDD process.
- Carrying out file opening quality audits and spot checks on files to ensure the procedures have been followed
Skills Required for the Senior Compliance Officer:
- Proven experience working in a Compliance Officer role
- A good understanding of Anti-Money Laundering (AML) Regulations and the wider CDD requirements and process, including identifying and tracing ownership of client structures, PEPs and Sanctions.
- Ability to make decisions independently but with a clear understanding of when to escalate to management
- A background in the legal or other professional services sector is desired
- Strong communication skills
Please apply as directed!