Senior Associate – Compliance

OVERVIEW

PURPOSE OF ROLE :
• This is an existing role in the business, the purpose of which is to provide support to the
Group Compliance Manager. The post holder will work alongside business and
functional teams, other Compliance Managers across multiple jurisdictions (including
the United States and Germany) and the Group Legal team to support on all
Compliance-related matters.

RESPONSIBLE FOR:
• The post holder will have delegated responsibility from the Group Compliance
Manager for the development, execution, and oversight of operational procedures
relevant to the Groupwide Compliance Management framework and/or Subject
Matter specific frameworks and programmes.
• This will include – independent management of group-wide Compliance frameworks
for one or more entities/jurisdictions and to provide experienced support including –
updating the Compliance Management CRM system, developing and delivering
communications and training materials, management of team folders, data privacy
office management, updating Excel spreadsheets, processing invoices, updating new
client information, creating reports, and providing general ad-hoc administrative
support.

CORE RESPONSIBILITIES (FUNCTIONAL RESPONSIBILITIES):
• Provide subject matter expertise (review and analysis) for enquiries/escalations for
areas of assigned responsibility
• Design, implementation and management of operational procedures for areas of
assigned responsibility
• Maintain main systems and/or tools supporting key Compliance Management
frameworks and programmes
• Develop and deliver key Compliance-related Communications and Training (courses
and materials)
• Manage Compliance Team Folders according to procedures
• Update and maintain Compliance Team Registers and Records
• Update new Client Information
• Data Protection Office support and management
• Create Reports (MI) on regular and ad-hoc basis
• Provide general ad-hoc administrative support to the Team and the Group
Compliance Manager
• Managing personal workload and prioritising tasks to meet business needs
• Engaging with internal and external stakeholders/Compliance Managers to ensure
timely completion of tasks
• Achieving operational goals set, and deliver against agreed targets in terms of quality
and productivity

SKILLS AND COMPETENCIES
• Demonstrable ability to get work done within a dynamic environment
• Confident using MS Office Productivity Tools (Word, Excel, Outlook, PowerPoint)
particularly Excel
• Experience in a client-facing position
• Confident to challenge others and offer suggestions
• Ability to work on your own initiative and multitask within an ever-changing
environment
• Attention to detail with ability to liaise with individuals at a senior level
• Compliance Risk Management and Compliance Management System support

• Management and/or administrative lead of Core Compliance programmes such as
AML, Data Protection, Conduct & Ethics
• Interpersonal skills & relationship building – working with multiple teams in various
jurisdictions will be required of this role and building these relationships is key
• Proven ability to work independently with minimal input/supervision
• Good organisation and process adherence ability – ability to manage large workloads
and balance multiple priorities whilst ensuring all tasks are performed to a high standard
• Flexible attitude to role specifics – must be willing to adapt to needs of business, often
at short notice
• Demonstrable ability to prioritise, multi-task and work within tight and changeable
timeframes while still maintaining high level of accuracy
• Strong time management skills with excellent attention to detail
• Excellent written and verbal communication skills and aptitude for communicating with
colleagues and peers.

ESSENTIAL APPROVED PERSONS EXAMINATIONS
• N/A

PROFESSIONAL EXAMINATIONS REQUIRED
• (Desirable) bachelor’s degree in law, Risk Management or Finance
• (Desirable) Minimum Intermediate to Specialist level training and certification
obtained from 3rd party Accrediting Body e.g. ICA Specialist Certificate in AML,
Financial Crime, Sanctions, Governance or Compliance

OTHER SKILLS REQUIRED, ESSENTIAL OR DESIRED:
• It is essential that the candidate is receptive to new ideas and perspectives as well as
willing to learn and adapt to new technologies and processes.

WHEN ABSENT FROM THE OFFICE ROLE WILL BE COVERED BY:
The tasks in this role will be carried out by an assigned delegate within the team in the event
of the absence of the post holder.