Compliance Officer

  • Location:

    City of London, London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £30000 - £38000 per annum

  • Contact:

    Matthew Pollard

  • Contact email:

    Matthew.Pollard@goodmanmasson.com

  • Job ref:

    MP050919_1567683371

  • Published:

    15 days ago

  • Expiry date:

    2019-10-05

  • Startdate:

    ASAP

A Management consultancy is looking for someone to join their team in an internal compliance role as part of their commitment to a strong internal governance programme to ensure they are in the possible shape to support their clients.

Role Profile

This role will be tasked with designing processes, and then deliver all enhanced consultant screening required within the consulting practice. As a new role, the Officer can take full ownership of the space and strive to create an effective and efficient process to ensure a robust, business suitable means to ensuring compliance with our client contracts and reducing risk.

The role will be focused on internal KYC and Enhanced Screening on our employees as a part of ensuring fitness to work on specific client engagements, in accordance with client rules and UK legislation.

Role Responsibilities

  • Ensuring compliance with client contracts where they specify additional background screening requirements before our people can work on their projects
  • Reviewing, redesigning and refreshing our processes; mapping the current enhanced screening process to form a new and efficient procedure for ensuring screening requirements are met and maintained
  • Creating and maintaining a central database of enhanced screening, as required by our various clients
  • Building and maintaining relationships with any 3rd parties which are needed to support the delivery of enhanced screening for Baringa employees and associates.
  • Reviewing compliance with current client contracts and identifying any gaps in our processes with proposals for remediation
  • Advising the corporate legal team on our ability to meet enhanced screening requirements, prior to finalising contracts with our clients, and suggesting amendments where required
  • Liaising with internal client Partners, Consultants and our third party screening provider to ensure timely completion of all consultant screening requirements
  • Ensuring that the relevant staff have the necessary level(s) of awareness around any required consultant screening and understand their accountabilities and responsibilities under the Master Consulting Agreement (MCA)
  • Serving as a partner to the consulting arm of the business, seeking to understand both business and client requirements and balancing these with identified commercial, legal, financial and/or reputational risk
  • Building stakeholder engagement across the firm, raising awareness of the value of compliance where required and building on existing successes
  • Enabling the business by maintaining accurate records of current and required screening to provide timely reporting on requirements to client Partners
  • Supporting the growth of a new business unit within the Corporate team and developing a risk and compliance mind-set within the Firm to further increase our credibility with our clients
  • Escalating issues to the Compliance and Risk Manager where required
  • Other ad-hoc duties and project work as required
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