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Compliance Officer

Legal Enquire

Type:

Full Time

Full Description

Dickinson Gleeson is looking to employ a Compliance Officer for the firm.

Purpose:
The compliance function is an essential part of Dickinson Gleeson’s business and is overseen by its partners. The firm requires a Compliance Officer to support the partners with the onboarding of clients and monitoring firm activities to enable it to comply with applicable laws, regulations and internal policies and procedures. The Compliance Officer is required to assist with, identify and manage Dickinson Gleeson’s risk exposure by ensuring that the systems and controls which exist are effective and relevant in order to protect the firm from both internal and external risk factors, whilst ensuring that there is a culture of compliance and high ethical standards.

Principal Duties and Responsibilities: ·
Assist with the onboarding of new clients / matters.·
Undertake client screening and ongoing monitoring to include Conflict Checks, background, or equivalent searches Complete Customer Due Diligence (CDD). ·
Comply with all relevant internal policies and procedures ·
Undertake CDD reviews including trigger events and Politically Exposed Persons (PEPs), Sanctions and Liaison notices. ·
Review the output generated by the screening and monitoring activities to determine whether any relevant trends or information should be communicated to the firm’s partners and staff ·
Assist with conducting Internal Monitoring (CMP) of adherence to internal policies ·
Continuous process improvement and sharing best practice ·
Support with regulatory, audit and similar inspections ·
Undertake Continuous Professional Development (CPD) and oversee the firm’s internal training ·
Maintain Compliance Registers ·
Perform ad hoc tasks as required

Knowledge, Skills and Experience:
Essential: ·
Knowledge and understanding of the Jersey Financial Services Anti-Money Laundering Handbook ·
Self-motivated with an appetite to learn ·
Effective communication skills ·
Excellent attention to detail, good planning and organisational skills ·
Flexible, reliable, committed ·
Efficient, team player, ·
Customer focused ·
Analytical ·
Assertive ·
Previous experience of client due diligence in a regulated or supervised environment ·
Previous experience of client screening and monitoring activities ·
Willingness to undertake a compliance qualification ·
General interest in the regulatory environment and current affairs

We are willing to consider applicants from all levels of experience.
To apply for this role, please email your CV and covering letter to Jane Mills, Practice Manager at jane.mills@dgadvocates.com For further information or to discuss the role, please call Jane Mills on 01534 737757