Administrator – Centralised Functions Assurance Team

ROLE OVERVIEW

PURPOSE OF JOB

To act as a member of the Centralised Functions Assurance Team with a primary focus in maintaining and managing the JTC Private Client Service’s Compliance Monitoring Programme. 

MAIN RESPONSIBILITIES AND DUTIES

• Responsible for assisting with conducting second line of defence, risk-based monitoring activity, across all areas of the relevant Private Client Services business, in line with the Compliance Monitoring Programme. 
• Assist with ensuring that the Compliance Monitoring Programme is aligned to the Business Risk Assessment of each Private Client Services jurisdiction in order that the testing is focused in the correct areas. 
• Assist with ensuring that the testing is carried out in line with the Compliance Monitoring Programme. 
• Assist with ensuring where areas are considered higher risk they are monitored more often. 
• Where necessary assist with instigating action to remedy any deficiencies and assist with ensuring any deficiencies identified are followed up and closed off in a timely manner. 
• Assist with gathering of evidence, feedback, drafting of reports for all areas of the relevant Private Client Services business and tracking the outcomes of testing. 
• Assist with ensuring that the Compliance Monitoring Programme is reviewed and updated at least annually. 
• Ensure own knowledge of, and compliance with policies and procedures. 
• Maintain an up to date understanding of the relevant legal and regulatory requirement. 
• Adhere to CPD requirements in according with regulatory requirements and in-house procedures. 
• Attend relevant seminars and conferences. 
• Adhere to JTC core values and expected behaviours. 
• Undertake any other duties as deemed necessary by Management. 

ESSENTIAL REQUIREMENTS

• Hold an International Compliance Association qualification or working towards one, or a similar relevant qualification. 
• Previous experience in a compliance monitoring or audit role. 
• High level of accuracy and excellent attention to detail. 
• Ability to work towards tight deadlines.  
• Hands on approach. 
• Collaborative team player.