To assist in the implementation of processes and procedures to enable BCMGlobal Mortgage Services to meet it’s obligations under the Financial Services Act, Anti Money Laundering Regulations, Data Protection Act and other applicable laws and regulations. To act in an advisory capacity, monitor processes and controls and be a subject matter expert on regulatory affairs. To assist in the preparation of reports to management, Group and clients.
Accountabilities and responsibilities
To assist in carrying out compliance monitoring reviews and prepare reports, track completion of action points
Carry out horizon scanning, prepare reports and work with the business to implement regulatory change.
Provide regulatory advice and support to the business including approving changes to policies and procedures in accordance with regulatory requirements.
Receive and investigate suspicious activity reports, make recommendations, prepare reports to the relevant authorities e.g. NCA / GOV.UK / DWP
Carry out activities relating to AML such as transaction monitoring, KYC,PEP screening and Sanction checking
Assist in the preparation of monthly, quarterly and annual reports as necessary
Provide training and guidance to staff as necessary and act as mentor to staff
Assist with projects as defined by the Compliance Manager by meeting agreed deadlines and achieving specific objectives
Production of regular management information as required by the business
Assist in the preparation of Data Subject Access Requests
Assist in the review and production of AML reports
Keep up to date with regulatory developments
Assist in the identification and management of risk throughout the business
Assist in the preparation of risk reports, management information dashboards, minutes of meetings and incident records
Assist in carrying out risk and control testing
Required Skills & Knowledge
Ability to work as an effective team member – be a leader, be cooperative, support others and deliver what you promise
Ability to communicate at all levels.
Excellent quality of written and verbal communication.
Ability to organise workload to meet deadlines.
Ability and willingness to see task through to completion.
Customer focused – identify effective solutions for borrower, internal client and external client
Knowledge of the applicable regulations/codes governing the financial services industry