An exciting opportunity for a Compliance Assistant / Auditor has arisen in the firm. This role requires the holder to be able to multi-task as this is a wide-ranging role working across all departments within the business.
The position is full time Monday to Friday 9.00am to 5.30pm. You will be based at head office, Clifton House, Cambridge but the successful candidate will be required to work from the firms other 5 locations from time to time, so it is essential that you have a full driving licence and use of your own car, which must be insured for business use.
You will be required to work alongside the Managing Partner, Anti Money Laundering Officer, Compliance Officer and Compliance Committee to support, promote and ensure a strong understanding of areas of compliance throughout the firm.
Salary negotiable and dependent on experience.
Please note the closing date for applications is Friday 15th January 2021 and we would be looking to hold interviews shortly after.
Principle Accountabilities will include:
- Provide support to the AML Officer to ensure the firms policy is implemented and followed at all times. Give general advice to colleagues on escalated AML queries. Annual review, or in line with regulatory updates, of the AML policy.
- Co-ordinate and deliver training on all areas of compliance to new starters and all staff on an annual basis. Training to be conducted face to face, online and by utilising the firm’s internal intranet. Responsible for maintaining firm wide training log relating to compliance.
- Carryout regular comprehensive risk assessments and audits for all areas of compliance to ensure departments remain compliant at all times.
- Regularly review all of the firm’s compliance policies and procedures, to ensure they are up to date at all times, to include, AML, Data Protection, GDPR, Privacy Policies, Anti Bribery & Corruption Policy, Complaints procedure, Information security policy, Documents Management, Retention and Disposal Policy, Client money handling policy, Health & Safety policies.
- Dealing with day to day complaints in line with the firm’s complaints procedure and with the support of the Complaints Officer. Liaising with the ombudsman and providing advice in relation to complaint management.
- Dealing with data breaches in line with the firm’s policies and liaising with the ICO.
- Working with the IT Manager to implement ongoing information security measures.
- Ensure compliance certificates / registrations remain up to date (i.e. HMRC AML registration, TPO membership, ICO certificate, PCI etc.).
- Work with the Compliance Committee to assess business risks and implement mitigating actions.
Compliance areas for the firm include:
NAEA-National Association of Estate Agents, NFOPP-National Federation of Property Professionals, CAAV-Central Association of Agricultural Valuers, RTPI–Royal Town Planning Institute, ASFAV-Society of Fine Art Valuers, Health and Safety, AML – Anti Money Laundering, GDPR-General Data Protection Regulations, RICS-Royal Institute of Chartered Surveyors, ARLA Association of Residential Lettings Agents, PCI-Payment Card Industry, Music licence, FCA-Financial Conduct Authority, TPOS-The Property Ombudsman Scheme, Complaints, TDS-Tenant Deposit Scheme, Immigration Act, ASA-Advertising Standards Authority, Ordnance Survey, Conflicts of Interest, HSE – Health & Safety Executive
Skills and Abilities required:
- Understand the importance of legal and regulatory compliance and confidentiality.
- Ability to write training material to cover all areas of compliance.
- Excellent communication skills – to all levels, verbal and written including presentation skills to deliver training etc.
- Ability to build internal and external relationships with regulators and colleagues.
- Ability to think problems through and discuss solutions with colleagues and Directors.
- Ability to analyse, review and interpret regulatory, industry and internal standards.
- Analytical and attention to detail.
- Ability to prioritise workload and meet multiple demands and deadlines and remain calm under pressure.
- Ability to work with little direction, maintaining confidentiality and professionalism.
- Ability to progress and take on more responsibility with growth of the business.
- Team player.
- Confident decision maker able to decisively implement compliance procedure.
Qualifications & Experience:
- Educated to diploma level or equivalent professional qualification.
- Computer literate and excellent working knowledge of Microsoft Office to include, Word, Excel, Outlook and PowerPoint.
- Minimum of 2 years’ experience in a Compliance / Auditing role or equivalent in a professional services or property firm.
- Good level of knowledge, understanding and application of the UK and EU regulatory environment in a professional services context.
- Experience presenting information and delivering training.
If you would like to apply for this position, please complete an application form, downloadable here and send this along with your CV and a covering letter to Suzi Smith at email@example.com.