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Fiduchi is looking for a talented professional to join our Compliance Team. If you want to work in a friendly team where ambition and talent are rewarded, then we want to hear from you!
To support the Head of Risk and Compliance in protecting the business against legal, financial and reputational risks, in their capacity as the second line of defence.
To undertake integrity checks to ensure compliance to company policies and procedures as directed.
• Perform agreed testing of key controls
• Responsible for the maintenance of Compliance Monitoring Programme tests
• Record, collate and report results of the Compliance Monitoring Programme (“CMP”)
• Assist with operational incident management processes and perform root cause analysis
• Maintain all risk and compliance registers
• Assist with gap analysis between developing legislation and current policies and procedures
• Carry out AML searches and investigations
• Assist in the creation, documentation, and implementation of process improvements, including testing and communication thereof
• Assist with risk management and mitigation including review of Business Central static data record management and remediation
• Develop and production Compliance specific management information
• Assisting with ad hoc CDD queries from all areas of the business
• Process Liaison Notices when received from the authorities
• Supporting the delivery of AML/Compliance induction training
• Assisting with the review and update of existing systems and controls
• To carry out other duties as requested by the Group Head of Risk and Compliance
Qualifications and Experience
• Experience in a Compliance or Audit role - ICA certificate or audit qualification preferred
• Experience in operational risk, audit or control support functions within the financialservices sector
• Experience of using data for control testing (related to audit testing), problem investigation, monitoring and reporting to assess operational risk and controls adequacy and effectiveness.
Good understanding of regulatory requirements for AML and CDD
A good knowledge and understanding of a TCSP, its operations and document management
Skills/ Behavioural Competencies
• Respect and live Fiduchi’s values
• Proficient digital literacy and knowledge of Business Central
• Excellent interpersonal skills and the ability to communicate effectively in all forms to colleagues, clients and professional advisers
• A strong team player who will work with and support colleagues to ensure team goals are achieved
This job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without prior notice.
Fiduchi is an equal opportunities employer.