Principal Duties and Responsibilities

• Comply with all relevant internal policies and procedures.
• Assist with Customer Due Diligence (CDD) reviews including trigger events and Politically Exposed Persons (PEPs), Sanctions and Liaison notices.
• Undertake client screening and ongoing monitoring to include Conflict Checks, background or equivalent searches.
• Review the output generated by the screening and monitoring activities to decipher the information which should be communicated to the fee earners.
• Investigating potential high-risk clients or high-risk situations to enable decision making on whether to onboard or not, and provide mitigating measures if onboarded.
• Engage with key stakeholders of the firm, including other Appleby offices to build solid relationships, improve processes, share knowledge and develop a compliance culture.
• Identify the need for new or amended policies and procedures; review and update policies and procedures.
• Implement and monitor the day-to-day operation of compliance policies and procedures.
• Organise, coordinate and complete identified compliance reports in time at the quality level expected.
• Prompting reviews of the Business Risk Assessment and Compliance Monitoring Programme.
• Assist with conducting Internal Monitoring (CMP) of adherence to internal policies.
• Organise, coordinate and complete identified compliance reports in time at the quality level expected.
• Continuous process improvement and sharing best practice.
• Support with regulatory, audit and similar inspections.
• Undertake Continuous Professional Development (CPD).
• Maintain Compliance Registers.
• Perform ad hoc tasks as required.