Assist the Head of Client Compliance in the delivery of an effective Compliance Framework, including but not limited to:
- Maintain and analyse client regulatory and compliance registers, e.g., complaints and breaches/errors
- Assist in the production of regular compliance reports for regulated clients, their committees and schedule 2 entities
- Assist with horizon scanning/regulatory change monitoring
- Record regulatory correspondence for regulated clients and schedule 2 entities
- Be responsible for assessing the daily screening hits and escalating hits referred to Client Compliance for mitigation and/or referral to CO/MLCO
- Assist with Client Reviews
- Assist with Compliance and regulatory queries
- Execute Transaction Monitoring Plan
- Execute Enhanced Monitoring Programme
- Execute Compliance Monitoring Programme