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RSM UK
,
London, Greater London
Compliance Associate
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Job Type: Full-time |
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Overview
Compliance Associate We are searching for an experienced Compliance Associate Overall Job Purpose The National Technical Services (Compliance) team at RSM UK supports RSM’s client facing/engagement teams and service lines in Compliance related matters. The team supports the development and maintenance of Compliance policies and procedures including those relating to anti-money laundering (AML) and terrorist financing. The Compliance Associate will directly work with the Associate Director with a primary focus on managing day to day queries and tasks relating to client due diligence (‘CDD’). Strong working knowledge of CDD/ know your client (‘KYC’) requirements, as applicable in the UK, is a must. The ideal candidate will 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 the above duties/ responsibilities can evolve/ change over a period of time. Candidate requirements A graduate with 2-3 years’ experience in CDD/KYC with proven experience of dealing with high risk cases, EDD and PEPs screening and its processes. High level technical knowledge of UK AML and CDD regulatory environment. Demonstrable client on-boarding experience throughout the entire client life cycle including clear understanding of the ‘risk-based approach’. Ability to communicate to a high level and clearly in writing and verbally Able to work with a minimum level of supervision Confident interpersonal skills Ability to simultaneously handle diverse and pressing assignments and sensitive and adversarial situations Critical thinkers with very good attention to detail Comfortable working both independently or in a team Experienced hire Permanent LONDON - FARRINGDON STREET National Technical Services