This role is suitable for someone who is a recent third level graduate or who has just started their career in financial services Compliance or AML and wants to take a role which will help them develop their skills. The role is with a small, second line, Compliance function where all facets of the mortgage journey are overseen. This will provide a broad overview on the industry with an option to focus on AML/Financial Crime oversight. Development within the role will focus on understanding the practical application of AML and financial regulations with a view towards progression towards ownership of the function although it is expected that, to support the success of the function, that there is a willingness to get involved in all areas as required. The successful candidate will be able to demonstrate that they have a good understanding of regulation, second line oversight, AML issues and concerns, ability to review and understand complex information and report concisely and efficiently. Desire to continuous learn and improve will also be highly regarded for this position.
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.
* 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.
Seniority level
Entry level
Employment type
Full-time
Job function
Finance, Consulting, and Legal
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