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Do you have an interest in Financial Services and administration? Can you work with accuracy and meet deadlines?
We are actively looking for a brand new Compliance Executive to join an established and prominent employer in Bath.
We’re looking for someone who’s organised in their approach and can follow process for a number of compliance lead processes.
You’ll play a key role in the ensuring compliance requirements adhere to legal regulations, industry standards best practices, aswell as internal procedures.
This role is reporting in to a Senior Compliance Manager and full training for the duties can be provided.
This role is offered with hybrid working - 3 in office and 2 at home once trained.
DAY TO DAY
Working alongside the Senior Compliance Manager to ensure provision of general compliance advice across the group
Actively take ownership of 2 x departmental in boxes
Ensuring all queries are managed and dealt with in the agreed timescales
Taking responsibility for routine PEPs and Sanctions screening, escalating non-routine findings
Escalating end-to-end complaints (eg investigations and final response letter)
Helping with compliance training programme to include assigning employees to modules, monitoring and reporting on completion of training modules across the group
Dealing with all queries re training related enquiries
Building strong relationships across all functions & supporting Senior compliance manager when required
Liaising with Compliance Advisory Agency, e-learning provider and Trade bodies
WE WOULD LOVE TO SEE
Excellent accuracy and attention to detail
Good interpersonal skills and an ability to work collaboratively
Any exposure to AML, KYC, PEPs, DSAR is preferable but not essential
AND FOR YOU
26 days holiday
Health cash plan
Private pension
Team social events, including lunches and quarterly events
Work from home 3 in office and 2 at home once trained
Opportunity to pursue a qualification within Compliance
