Nature & Scope
Reporting directly to the Compliance Manager, you will be responsible for ensuring accurate and consistent implementation of our compliance and risk management procedures; promoting the firm’s commitment to excellent service and maintaining key databases.
You will be responsible for conducting thorough checks on the source of funds for client transactions, ensuring that all funds are legitimate and comply with relevant regulations and organizational policies.
Manage your own performance and deliver a high level of customer service. Work collaboratively with colleagues across departments to facilitate the smooth running of the firm’s compliance and risk management procedures.
Key Competencies
* Self-motivation
* Excellent use of initiative
* Excellent verbal and written communication
* Data capture and analysis
* Ability to handle complex issues
* Ability to work to deadlines and under pressure
* Desire to exceed client expectations
* Skilled in the use of IT
* Organized with excellent time keeping
* Attention to detail and accuracy
* Discretion for confidential information
* Positivity and enthusiasm
Key Accountabilities
* Under the direction and supervision of the Compliance Manager, implement the firm’s compliance checks, including but not limited to:
o Client care implementation
o ID
o Conflict checks
o SRA checks
o Lender exchange bank account checks
o Client bank account checks
o Source of funds and source of wealth checks
o Completion compliance checks
* Perform detailed checks and reviews of financial transactions, including deposits, withdrawals, and transfers, to identify the source of the funds.
* Liaise with clients and third parties to complete the compliance procedures.
* Verify and assess the authenticity of client-submitted documents such as bank statements, tax returns, pay slips, inheritance documents, or any other financial proof to support the source of funds.
* Ensure a strong client experience, minimize complaints, and assist clients where appropriate to understand what information is required from them and why.
* Identify and report to the Compliance Manager any possible areas of risk for the firm.
* Be responsible for maintaining up-to-date and accurate compliance databases.
* Deal with enquiries as efficiently as possible.
* Escalate any issues to the line manager.
* Maintain good working relationships with colleagues and other departments.
Administration
* Provide administrative support to the firm, including but not limited to:
o Producing and maintaining compliance data and files so that the information and supporting documents are readily accessible.
o Ensuring that confidential information is not passed on to third parties without appropriate permission.
Handle information in a manner consistent with the firm’s policies relating to data protection and information security.
Package
* Competitive salary
* 20 days per annum annual leave plus statutory bank holidays. Additionally, the firm ordinarily closes between Christmas and New Year, albeit the firm reserves the unfettered right to withdraw this additional leave as required by business needs. You will also get an extra day’s holiday for your birthday and length of service.
* Entitlement to join the company pension scheme.
* Entitlement to participate in the firm’s cash healthcare scheme.
* Enhanced maternity pay (subject to conditions).
Other Candidate Information
* The role will be based at our Northwich office, but there will be a contractual requirement to work at any of our Cheshire offices.
* Although this role is advertised as a full-time position, the firm will, upon request, consider whether the role can be conducted on a part-time or shared basis.
* Any offer is conditional upon receipt of a satisfactory reference, a basic DBS check, Social Media Check, Employee Credit Check, Sanctions Check, and a check with our Regulatory Body.
* Poole Alcock is an equal opportunities employer and intends to treat everyone equally regardless of disability, race, sexual orientation, age, or marital status.
Benefits Include
* Competitive Salary
* 20 days annual leave
* Entitlement to join the company pension scheme
* Entitlement to participate in the firm's cash healthcare scheme
* Enhanced maternity package (subject to qualifying conditions)
All applications are to be sent to the attention of Partner, Marsha Pearson.
How to Apply
Download the application form and either post it to the address below, email it, or complete the online form below and upload your documents.
Please note that applications will only be accepted if submitted on our application form.
Postal Address:
Mrs. Diane Powell, HR Manager, Poole Alcock LLP, The Dowery, 22 Barker Street, Nantwich, Cheshire, CW5 5TE
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