Compliance Quality Assurance Reviewer

Leapfrog Recruitment Consultants; Daliburgh; On-site; GBP 60,000 - 80,000; Full time

Job summary

A recruitment consultancy in the UK is seeking a Compliance Quality Assurance Reviewer to enhance their compliance framework. The role involves conducting independent QA reviews of AML files, assessing due diligence measures, and providing feedback for improvements. Candidates should have experience in compliance or financial services, strong analytical skills, and confidence in communicating insights to management. An advantageous ICA qualification is a plus.

Qualifications

• Experience in compliance, AML/CFT, or financial services.
• Strong analytical and reporting skills.
• Attention to detail and confidence in communicating findings to stakeholders.

Responsibilities

• Conduct independent QA reviews of AML file reviews.
• Assess due diligence measures according to risk ratings.
• Identify deficiencies and monitor remediation.

Job description

This role provides an opportunity to play a key part in strengthening the organisation's compliance framework through independent quality assurance. As Compliance Quality Assurance Reviewer, you'll assess AML and CFT reviews across a range of client types, ensuring that due diligence standards and regulatory expectations are consistently met.

Key Responsibilities

• Conducting independent QA reviews of AML file reviews and customer risk assessments for corporates, trusts, and individuals.
• Assessing whether due diligence measures have been applied appropriately according to risk ratings.
• Reviewing completeness and accuracy of documentation for both periodic and trigger event reviews.
• Identifying and documenting deficiencies or inconsistencies and monitoring remediation through to resolution.
• Maintaining and updating a remediation tracker and MI dashboard for senior management.
• Escalating material findings or repeated shortcomings as required.
• Identifying recurring issues and providing constructive feedback to support improvement.
• Contributing to compliance monitoring and policy enhancement projects.
• Staying up to date with regulatory developments and maintaining technical AML knowledge.

Requirements

The ideal candidate will have experience in compliance, AML/CFT, or financial services with a solid understanding of client due diligence and customer risk assessments. Strong analytical and reporting skills are essential, along with attention to detail and confidence in communicating findings to senior stakeholders. An ICA qualification (or working towards one) in Governance, Risk, or Compliance would be advantageous. Experience in insurance or a similar sector, and proficiency in Microsoft 365 tools such as Excel, are also beneficial.

We are an equal opportunities employer and welcome applications from all qualified candidates.