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Job description

ROLE SUMMARY

Briefly describe the main purpose of the role

The role has two key responsibility areas:

1.Supporting AML and related service to Clients

2.Ensuring regulatory compliance with the Financial Crime rules and obligations, including AML

Key Responsibility Areas:

Categorise the duties of the role into the 3-5 major areas of responsibility. Divide these into steps

explaining the main activities

Compliance responsibility - client service

• Review and prepare all documentation inclusive of CDD, AML, PEPs, Sanctions and Adverse Media for further review and approval

• Review and assess complex AML cases and issues e.g. complex entities, structures and higher risk entities, individuals and jurisdictions

• Assist with client queries relating to AML and FC

• Conduct onboarding AML/KYC checks for Mainspring and on behalf of clients, in line with appropriate rules and regulations

• Build and maintain strong client relationships

• Implement the firm’s risk assessments for AML and FC

Compliance responsibility – company compliance

• Define and maintain internal policies, procedures and manuals relating to financial crime, including our client's AML Policy & Framework and Compliance Manual

• Conduct internal periodic reviews and investigations of financial crime compliance issues, to ensure procedures are being followed

• Support monitoring of various business areas to ensure company compliance with stated policies and procedures and taking action on any remedial recommendations, relating to financial crime

• Conduct onboarding and ongoing monitoring reviews as part of periodic client file reviews

• Provide financial crime compliance guidance to the wider business, as appropriate

Compliance responsibility – awareness, research & understanding

• Keep up to date with relevant changes in regulation and business processes, maintaining knowledge of relevant rules, guidance, and industry best practices, relating to financial crime

CRITICAL SUCCESS FACTORS

These are the job activities that are critical for the effective performance of the job e.g., personal attributes such as attention to detail or delivery

of certain KPIs / cost-management. Please list the most critical job elements required to meet the job purpose and rank these job elements in

order of their importance. Give examples of behaviour where applicable.

Critical Personal Attributes

• Demonstrate the Company’s core values: Can-do, Positive, Excellence, Integrity, Accountable

• Self-motivated

• ProactiveJob Description Template V1 | Internal Use Only | Owner: HR

• Mindset for continuous improvement

• Sense of urgency, high energy, and drive

• Team player

Critical Job Elements

• Contributor to team working

• Attention to detail, ability to work to deadlines and work under pressure

• Confidence and strength of character which arises from a knowledge of subject matter, detail orientated, inquisitive mind to understand regulations, the practical options, and limits thereof

• Excellent organisational skills, ability to manage multiple priorities of role AND strong communication with clients and senior management

• Ensures clear, concise, and appropriate communication

• Ability to learn systems and technology, to get the best from existing systems, understand the limitations thereof and either drive improvements from or find alternative ways to get what is needed

• Focus on business innovation based on the priorities established by the Board

PERSONAL PROFILE

Indicate essential or desirable knowledge, education, experience, and skills

Experience:

3-5 years experience in compliance in investment firms or equivalent to it.

Have solid knowledge of the financial crime rules and related guidance

Education:

Educated to Degree level.

Proficiency in MS Office software, i.e. Word, Outlook, PowerPoint, Excel etc.

Skills / Aptitude:

Strong team working skills and outlook.

Track record of innovation, continuous improvement.

Able to manage workloads to deadlines effectively

OTHER

Indicate any other information helpful to someone trying to understand the nature, scope and purpose of this job. Include if it is known that there

are seasonal peaks in workload and any requirement to travel.

Based in Milton Keynes but must be flexible to work in the London office and remotely

With business growth it is anticipated that new office locations will be established, at which point travel to other client and office locations may

be necessary

GENERAL

• Employees must demonstrate consistent behaviours in line with the Company’s core values.

• This job description is not designed to be a complete and exhaustive list of all required duties/tasks.

• All employees are expected to carry out any reasonable request from management in order to support business needs.

• The jobholder is expected to follow relevant policies, procedures, handbooks and work instructions (including for the Company’s Security,

Health and Safety, and Environmental management systems), and report to the appropriate manager if objectives cannot be met, or a

problem occurs.

• In line with the Company’s Business Continuity Plan policies and practices, the Company reserves its right to require employees to undertake

any necessary business critical duties to ensure business continuity during emergency situations.

• Role Descriptions are subject to change from time to time. If a description is changed an updated version will be provided in writing to the employee.

Job Types: Full-time, Permanent

Salary: £40,000.00-£45,000.00 per year

Schedule:

• Day shift
• Monday to Friday

Ability to commute/relocate:

• Milton Keynes: reliably commute or plan to relocate before starting work (required)

Education:

• Bachelor's (preferred)

Experience:

• AML: 3 years (required)

Language:

• English (preferred)

Work authorisation:

• United Kingdom (required)

Work Location: One location