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RSM UK
,
London, Greater London
Compliance Associate
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Job Type: Full-time |
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Overview
Overall Job Purpose The National Technical Services\n(Compliance) team at RSM UK supports RSM’s client facing/engagement teams and\nservice lines in Compliance related matters. The team supports the development\nand maintenance of Compliance policies and procedures including those relating\nto anti-money laundering (AML) and terrorist financing. The Compliance Associate\nwill directly work with the Associate Director with a primary focus on managing day to day queries and\ntasks relating to client due diligence (‘CDD’). Strong\nworking knowledge of CDD/ know your client (‘KYC’) requirements, as applicable\nin the UK, is a must. The ideal candidate must be from a professional services environment. Responsibilities Guiding the client facing/ engagement teams through the client on-boarding and ongoing monitoring process. Advising the client facing/ engagement teams in relation to CDD (including being able to support identification of beneficial owners in complex ownership structures) and undertaking CDD checks (where required). Carrying out CDD monitoring reviews as per RSM UK’s procedures. Supporting the Associate Director with respect to high risk clients on-boarding and risk assessments (e.g. PEPs, complex ownership structures, etc) and making recommendations. Dealing with the client facing/ engagement teams’ day to day CDD queries in a pragmatic, timely and efficient manner. Ability to identify risks/complex issues and escalate issues to the Associate Director, where required. Assisting in the maintenance and update of AML, CDD and other Compliance policies and procedures. Maintaining the Firm’s automated client on-boarding platform in conjunction with IT specialists.Responding to questions from users. Additional compliance/project related duties as required from time to time. Administrative duties and other tasks as may be required by the MLRO and the Associate Director. The team works in a dynamic changing environment and\nthe above duties/ responsibilities can evolve/ change over a period of time.