Somerset West: Compliance Monitoring Officer (Financial Services) posted by Helderberg Personnel

About the Role

Helderberg Personnel is seeking a highly skilled and experienced Compliance Monitoring Officer to join our team in Somerset West. As a key member of our compliance team, you will be responsible for ensuring that our clients’ due diligence is collected to the appropriate standard, conducting periodic reviews, and monitoring our automated screening system to identify potential adverse matches. You will also assist in the development and implementation of internal policies and procedures, provide training and guidance to staff members, and participate in training sessions to increase your knowledge and understanding of the regulatory environment.

Key Responsibilities

• Ensuring that client’s due diligence is collected to the appropriate standard in line with our internal policies and procedures.
• Conducting Periodic Reviews, record any deficiencies and generate action points for remediation.
• Conducting client screening using our screening system and open-source searches.
• Monitoring and analysing the results of the automated ongoing screening system and conducting research on relevant parties where potential adverse matches are identified.
• Conducting compliance monitoring in accordance with the compliance monitoring programme, to ensure compliance with all regulatory requirements and AML/CFT/CPF, record deficiencies and generate remediating action points.
• Assisting in the development, implementation, and continuous improvement of internal policies and procedures to ensure operational efficiency and compliance.
• Assisting in the development and delivery of training materials for staff members on compliance topics.
• Assisting in providing day to day support/guidance to the staff as required in respect of compliance and AML/CFT/CPF matters.
• Participating in training sessions to increase your knowledge and understanding of the regulatory environment.
• Completing any other duties as and when required to drive business success.
• Assisting with the project management of new initiatives.
• Adopting and reflecting company values.

Competencies / Requirements

• Any legal degree or certification
• Compliance, Risk Management or related degree or diploma
• 2-3 years experience of working in a compliance environment
• Exposure to KYC (Know Your Customer) and CDD (Customer Due Diligence) processes will be highly advantageous
• Experience in compliance monitoring, regulatory reporting, or risk assessments is a plus
• An ability to articulate complex issues in a clear and concise manner
• An aptitude for problem solving
• A methodical approach to tasks with a strong focus on attention to detail
• Experience in collating and summarising data
• Excellent organisational skills; prioritising, achieving deadlines
• Consistently working at the standard required by the team and business
• A willing and flexible attitude to working hours to support team and business needs, as required

Key Business Partners

• Compliance Team
• Directors
• Management Team
• Colleagues