Compliance Manager

Smart Recruitment; Southampton; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading compliance consultancy in Southampton seeks an experienced compliance professional to support AML/CFT obligations and ensure regulatory compliance. The ideal candidate will have at least 5 years of relevant experience, strong expertise in stakeholder management, and excellent communication skills. This role involves providing onboarding support, managing compliance weaknesses, and working closely with a dedicated team to drive effective compliance initiatives.

Qualifications

• At least 5 years relevant experience in a similar role.
• Excellent working knowledge of AML/CFT legislation.
• Strong people and team management experience.

Responsibilities

• Support the Head of Risk & Compliance with AML/CFT obligations.
• Provide onboarding support to partners and fee earners.
• Manage operational issues and compliance weaknesses.

Skills

AML/CFT principles

Stakeholder management

Excellent communication skills

Risk-based CDD measures

Team management

Education

Degree

Professional designation (e.g. CAMS, ICA)

Tools

Microsoft Excel

AML/CFT screening systems

Job description

Role purpose

The purpose of the role is to support the Head of Risk & Compliance in ensuring that the organisation remains compliant with its anti-money laundering and counter terrorist financing obligations during client take-on and to support other Risk & Compliance Jersey & Bermuda activities to deliver regulatory compliance.

The role will entail business as usual activities in addition to participating in projects relating to anti-money laundering and counter terrorist financing ("AML/CFT") and sanctions in relation to client take-on and/or periodic reviews that are required to be completed for AML/CFT purposes.

Reporting structure

• Direct report of the Head of Risk & Compliance Jersey & Bermuda
• Liaison with Partners, lawyers, support staff and compliance teams in all Jurisdictions.

Principal duties

• Provide the Bermuda partners and fee earners with on the ground matter onboarding support and advise, acting as a subject matter expert for onboarding and regulatory compliance
• Build close working relationships with key stakeholders at all levels of the organisation.
• Keep abreast of all applicable legislative and regulatory developments working with the Head of Risk & Compliance Jersey & Bermuda to ensure resultant changes to policy and procedure are implemented in a timely fashion.
• Work with and support the Bermuda onboarding team based in Southampton.
• Act as a subject matter expert on AML/CFT/PF queries in relation to client take-on.
• Provide support to the CSP Compliance Manager and wider team
  Identify potential areas of compliance weakness, document recommendations and when approved create action plans for resolution and provide guidance through the process to mitigate risk.
• Manage operational issues including recording of issues identified and tracking actions to resolve through to completion.
• Support the output of Compliance Monitoring findings ensuring that errors are satisfactorily resolved in a timely manner and that any resultant training requirements are completed.
• Form part of the escalation process for high risk and/or complex matters that require senior management input and making decisions whether matters need to be referred to the Head of Risk & Compliance Jersey & Bermuda for approval.
• Provide input to project activities in relation to client onboarding, processes, systems and controls, as necessary.
• Support regulatory submissions ensuing timely preparation and completion.
• Support external audit process.

Experience

• At least 5 years relevant experience in a similar role with a background in Financial Services Business or legal practice preferred.
• Excellent working knowledge of AML/CFT principles of legislation and the sanctions regimes globally.
• Experienced with the application of risk based CDD measures and client take-on procedures.
• Knowledge and experience of working with Microsoft applications, particularly Excel, AML/CFT and sanctions screening systems. Knowledge of Intapp and/or ViewPoint is an asset.
• Knowledge of law firm and corporate services matters desirable but not essential.
• Strong people and team management experience necessary.
• Proven track record in stakeholder management and the ability to manage cross-jurisdiction communications.

Professional Qualifications

• Degree qualified
  Hold a relevant professional designation (e.g. CAMS, ICA, etc.)

Personal Characteristics

• Team player with the ability to manage, motivate and train others.
• Accurate and keen attention to detail.
• Excellent analytical and communication skills.
• Good judgment and ability to think independently.
• Demonstrated ability to influence and work effectively and cross-functionally within a highly-matrix organization with employees at all levels.
• Self-starter with the ability to meet or exceed deadlines, prioritize multitask, and maintain flexibility in fast-paced, changing environment.
• Excellent organizational written verbal and presentation skills including the ability to interpret and communicate compliance guidance internally.