Position: Regulatory Compliance Assistant
Employment Type: Permanent, Full-Time
A leading financial institution is seeking a proactive and detail-oriented Regulatory Compliance Assistant to join its compliance team. This is a fantastic opportunity to build your career in a dynamic and professional environment, playing a key role in ensuring regulatory compliance and upholding the organisation’s commitment to excellence.
Responsibilities:
1. Reviewing risk-based trade finance referrals, authorising when appropriate and escalating cases as needed.
2. Preparation and delivery of bank wide training (via portal tool and by issuing periodic bank-specific briefings and face-to-face training sessions).
3. Maintain and update the Bank’s legal and vendors database.
4. Support and maintain the assigned Compliance Registers to meet regulatory requirements and inform monthly reporting.
5. Completing the regulatory review work programme allocated via the Compliance Monitoring Programme (CMP).
6. Conducting sanctions screening on an ad-hoc basis and for in-flight transactions using industry standard tools.
Requirements:
1. Industry related diploma/degree or relevant higher education diploma.
2. Qualification in ICA, ACAMS, AFB or willingness to study.
3. Approx. 2 years' experience in a Compliance function.
4. Ability to navigate and interpret UK Regulations (including PRA/FCA rulebooks) and JMLSG Guidance.
5. Work towards the ability to undertake regulatory reviews covering a broad spectrum of UK regulatory requirements.
6. Microsoft Office competent (Word/Excel/PowerPoint).
7. Strong ability to undertake presentations and manage bank wide training programme.
8. Knowledge of trade finance and correspondent banking activities an advantage.
This role is ideal for an individual seeking their next career step and an opportunity to progress. The successful candidate will work alongside another compliance assistant, with both reporting to the Compliance Manager. This position focuses primarily on regulatory compliance rather than AML, with sanctions screening being the only AML related responsibility. Please apply if interested.
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