Department: Compliance Primary Report Line: Compliance Manager
PAD Framework: Support Staff Board Report Line: Compliance Director
This job involves working as a member of the Trust Client Review Team in successfully carrying out a programme of Trust
Client Reviews in an efficient, accurate and timely manner in line with the risk based Monitoring Program.
You will have several years’ experience in a Trust Administration role with a solid background of fiduciary knowledge. You will
display a sound knowledge of office policies and procedures, specifically those relating to anti money laundering/countering
terrorist financing, bringing any anomalies, problems or necessary updates to the attention of the Compliance Manager.
You will help to maintain a good positive team spirit and staff morale by providing support to your colleagues and assisting the
Compliance Manager as required from time to time. You will display confidence when dealing with others having developed
excellent communication skills, with directors, managers, team members, other colleagues and professionals alike. You will ensure that you maintain confidentiality of information at all times.
Corporate & Professional Responsibilities
● To promote and support the aims and image of the firm.
● To co-operate with colleagues to promote an open and supportive environment.
● To carry out duties in a careful and professional manner, acting in a way that supports and upholds the reputation of
● Be a role model for maintaining the highest standards of ethical conduct.
● Establish and develop working relationships based on confidence, trust and respect, exhibiting professional and
personal integrity at all times.
● To establish and maintain effective relationships with others through pro-active and regular communication and to
provide a high quality, professional service.
● To anticipate client’s future needs and initiate appropriate action, looking to resolve issues that go beyond immediate
client problems or demands.
● To prioritise, schedule work, allocate responsibilities, tasks and resources appropriately.
● Ensure that your technical knowledge is kept up to date and attend any relevant courses.
● Set clear aims and objectives for yourself in consultation with the Compliance Manager and establish an effective
method of monitoring your progress, providing the Compliance Manager with feedback on your progress.
● Display good communication with team members, managers, directors and other colleagues and be professional at
● To promote a culture that encourages honesty, open discussion and information sharing at all levels.
● To actively demonstrate an enthusiastic, positive approach.
● Carry out reviews of client records under the firm’s risk based monitoring programme. Record your findings and any
identified remedial action points using the firm’s automated review system, bringing any significant issues of concern
to the attention of the Compliance Manager.
● Carry out spot check reviews of procedures or processes as required by the Compliance Manager from time to time,
documenting and reporting findings.
● Attend meetings with the team to discuss workloads, targets, relevant issues, share ideas and encourage best
● Ensure technical knowledge is kept up to date and attend any relevant courses.
● Assist with any other relevant tasks as required by the Compliance Manager.
● Carry out projects or other tasks as requested by the Compliance Manager.
● Assist Compliance Manager with information required for quarterly board meetings.
● 5 or more consecutive years’ experience in a trust administration role.
● Knowledge and experience in a compliance role for a fiduciary function would be beneficial but is not essential.
● Excellent working knowledge of philosophy and culture and awareness of business objectives
● Excellent communication skills and ability to develop effective relationships at all levels.
● Effective organisational and planning skills.
● Effective performance management skills, including, coaching, mentoring and giving and receiving feedback.
● Accuracy and attention to detail.
● Proficient in all relevant IT programmes.
● Dedicated and highly professional approach with total commitment to best practice with a pro-active approach.
● Ability to work independently, use initiative and to prioritise work.
● Ability to work in a timely manner, and to meet deadlines when under pressure.
● Supporting approach regarding senior management decisions.
● Approval authority – n/a
● No direct reports
● Demonstrate full compliance with all legal requirements and all relevant policies.
● Demonstrate full adherence to all GFSC regulatory and Data Protection requirements.