Job Description

Key Accountabilities

  • Maintain internal records and reporting.
  • Contribute to the delivery of the firm’s annual Compliance Plan.
  • Review and develop AML and financial crime related business reports.
  • Identify areas for improvement in AML and financial crime conduct in the firm and organise and deliver specific and targeted training.
  • Undertake structured reviews on the operation of first line controls.
  • Contribute towards training to staff on relevant financial crime related topics.
  • Review new publications and regulations related to our industry.

    This list is not exhaustive and the duties are liable to change from time to time in line with the needs of the department.

        Skills & Competencies

        • Analytical skills – able to review and provide insight on management information, reports, industry literature.
        • Attention to detail – maintain accurate records across numerous areas.
        • Communication – able to engage with colleagues across the organisation to help ensure that understanding of the importance of regulation is set out.
        • Report writing – comfortable with research and structuring reports in a concise and informative way.
        • Knowledge of the FCA’s role in the financial services industry and the way in which it regulates mortgage firms.
        • Understanding of the three lines of defence risk model and the role of Compliance within the second line.

              Knowledge & Qualifications

              • Business/Economics/Law degree, or relevant entry level experience in the regulatory/AML financial services sector.
              • An appreciation of the role of financial regulations in general.

                Personal Attributes

                • Ambitious and willing to learn – it is anticipated that this role will grow with the role holder so a willingness to rise to a challenge is a key attribute.
                • Problem solver – able to analyse different sources of information to identify issues and propose and collaborate to resolve these.
                • Engaging – can interact competently and confidently with people at all levels of the business.

                Company Values - CREDIT

                C

                Customer - Customers are our primary focus

                R

                Results - Results matter, create value every day

                E

                Energy is contagious, Share it!

                D

                Developing our people makes us different

                I

                Invent the solution - be proactive

                T

                Teamwork - Together we can build the business

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