Compliance Associate

JR United Kingdom; King's Lynn; Hybrid; GBP 30,000 - 45,000; Full time

Job summary

A leading company is seeking a Compliance Associate in Norwich (Hybrid/WFH) to support the Group Compliance Manager. The role involves managing compliance frameworks, overseeing operational procedures, and working with various stakeholders. Candidates should possess a relevant degree and ideally have compliance certifications. Proficiency in Microsoft Office, especially Excel, is essential.

Qualifications

• Degree in a relevant field required.
• Training and certification in Compliance preferred.
• Experience in client-facing roles beneficial.

Responsibilities

• Support the Group Compliance Manager with operational procedures.
• Develop & deliver compliance-related communications and training.
• Manage compliance frameworks and client information.

Skills

Compliance Risk Management

Client-facing experience

Microsoft Office

Education

Degree in Law, Risk Management or Finance

ICA Specialist Certificate in AML, Financial Crime, or Compliance

Job description

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Compliance Associate, Norwich (Hybrid / WFH Remote).

Negotiable Salary and Package

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.

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.

Duties:

• 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

What we are looking for:

• Someone who holds a Degree within a relevant field such as Law, Risk Management or Finance
• Ideally but not essential is that you have had training and certification obtained from a 3rd party Accrediting Body e.g. ICA Specialist Certificate in AML, Financial Crime, Sanctions, Governance or Compliance
• Confident using MS Office Productivity Tools (Word, Excel, Outlook, PowerPoint) particularly Excel
• Experience in a client-facing position
• Compliance Risk Management and Compliance Management System support
• Management and/or administrative lead of Core Compliance programmes such as AML, Data Protection, Conduct & Ethics
  

Compliance Associate, Norwich (Hybrid / WFH Remote).

Negotiable Salary and Package

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.

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.

Duties:

• 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

What we are looking for:

• Someone who holds a Degree within a relevant field such as Law, Risk Management or Finance
• Ideally but not essential is that you have had training and certification obtained from a 3rd party Accrediting Body e.g. ICA Specialist Certificate in AML, Financial Crime, Sanctions, Governance or Compliance
• Confident using MS Office Productivity Tools (Word, Excel, Outlook, PowerPoint) particularly Excel
• Experience in a client-facing position
• Compliance Risk Management and Compliance Management System support
• Management and/or administrative lead of Core Compliance programmes such as AML, Data Protection, Conduct & Ethics
  

Desired Skills and Experience
Compliance

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