Trust & Corporate
Contract - Compliance Project Team Administrator
Actively contribute to the Compliance Project to take the Moore Stephens project plan from initiation through to a successful conclusion. Completing verification requirements, implementation of the AML Handbook and liaising with clients to obtain due diligence documents.
- Liaise with client owner / section head to plan and agree any required remediation
- Assimilate and implement Moore Stephens identification and verification requirements including certification procedures where required
- Implementation of sections 3, 4 and 7 of the AML Handbook
- Liaise with clients to obtain diligence documents whilst liaising with the section administration team to ensure that all contact is kept under supervision of the client owner for client service purposes
- Scrutinise and process all incoming diligence documents and feedback on documentation to ensure it is compliant with Moore Stephens CDD/EDD requirements
- Preparation of client risk assessments from diligence documents received
- Produce diligence reports from external DD databases such as WorldCheck to check for adverse information including PEP, criminal and sanction alerts
- Advise compliance to update PEP and other registers as necessary
- Populate diligence data received into Microgen 5 Series database
- Ongoing liaison with the client owner to ensure all review and remediation points are cleared
- Prepare MI for the project steering workgroup
Technical / Professional / Qualifications / Requirements
- 3-4 years Trust and Company experience required with good technical knowledge of Trust and Corporate administration, investments and tax issues including experience of corporate and private Clients covering trusts, partnerships, special purpose vehicles and other corporate entities and
- Identify and raise technical issues and potential problems
- Evidence of Continuous Professional Development; and
- Regulation training undertaken; and
- Understanding of the Codes of Practice including good knowledge of CDD/EDD requirements; and
- ICSA or STEP Diploma completed or in progress;
- ICA International Diploma in Compliance, is desirable but not essential
Client: Strong client focus, driven to deliver a quality service, spots opportunities for development of client delivery and service, sets standards.
Firm: Has a commercial outlook, follows procedures, innovative approach to work, spots procedural weaknesses and identifies areas for efficiencies, manages regulations and risk, proactive escalation of self-identified risk areas, demonstrable active learning, and evidence of shared learning.
People: Collaborative, team player, strong communication skills, shares knowledge and experience. Some management responsibility skills and experience.