Job Description

•    Managing general compliance workflows, including market abuse controls, personal account dealing, outside business activities etc.
•    Take a lead role in maintaining oversight of the execution of the Compliance Plan, including ensuring that calendars, databases and registers are up to date.
•    Performance of compliance monitoring and reviews along with documenting findings. Management of any open issues arising from testing and ensuring that related actions are addressed.
•    Providing assurance regarding compliance with the AML related policies/procedures as required, including assisting in the drafting/updating of associated compliance procedures, providing second line assurance and responding to ad hoc queries.
•    Acting as an escalation point for AML related queries.
•    Ownership for the identification, development and drafting of compliance related procedures and ensuring that they are complete and up to date.
•    Responsibility for the management of certain key annual processes including relevant Code of Conduct undertakings and Annual Statements of Interest, with support from team members.
•    Applying a continuous improvement mindset to the ongoing automation and enhancement of Compliance Function processes.
•    Working with the other team members in the delivery of accurate and timely board/committee reports, including coordination/review of inputs.
•    Developing a sound knowledge of and keeping up to date with statutory and governance obligations as they apply to the businesses and affiliate agencies.
•    Co-coordinating risk attestation processes for the Compliance Unit and related areas
•    Delivery of compliance related training.
•    Provide support in addressing ad hoc queries and issues that may arise.


•    5-7 years compliance experience in the financial services sector with experience in AML.  Alternatively, other related experience as compliance-specific audit or consulting experience.
•    An understanding of compliance risk and able to challenge the design and effectiveness of related business controls.
•    Ideally, have experience of working with diverse groups of stakeholders, managing project risks and issues.
•    Detail orientated and enjoy taking ownership of tasks.
•    Experience of working in a pressurised environment, managing internal and external relationships.
•    The candidate should hold a relevant third level qualification or equivalent relevant professional qualification.
•    Experience in data protection is desirable but not essential.
•    Team player, self-starter, highly motivated and capable of working on own initiative with the highest level of integrity.
•    Strong interpersonal, communication (verbal and written) and organisational skills are a prerequisite for this position.
•    Methodical approach to completing assigned tasks.
•    Good analytical skills and capacity to form balanced and objective views.
•    Proactive approach in seeking solutions to support compliance across all of the businesses and affiliates.


•    Flexible work options including remote working and variable work hours
•    An extensive wellbeing programme
•    Excellent learning and development opportunities that allow for full career development within the organisation
•    A diverse range of initiatives: LGBT+, Gender Matters, Disability Awareness, Sports & Social, Volunteering and lots more.
•    Reimbursement of annual professional membership fees
•    Defined Benefit Pension Scheme