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Compliance Monitoring Assistant

Posted about 1 year ago

  • Sector: Financial Crime & Fraud
  • Contact: Elisha Gath-Ghazaani
  • Contact Email:
  • Contact Phone: 0203 637 1609
  • Expiry Date: 13 April 2023
  • Job Ref: EG/10007

A Compliance Monitoring Assistant is required for a leading offshore Law Firm based in Jersey, and will report to the Compliance Monitoring Manager.

Responsibilities / Requirements of the Compliance Monitoring Assistant include:

• Undertake compliance monitoring across the firm adhering to the timetable outlined in the Compliance Monitoring Programme

• Undertake compliance monitoring to ensure alignment with regulatory and law society requirements

• To carry out ad hoc monitoring when required

• Determine compliance with internal policy and procedures

• Ensure that compliance monitoring testing is completed in a timely manner

• Accurately record all findings in the Compliance Monitoring Action Log

• Escalate material findings and trends to the Compliance Monitoring Manager

• Understanding when a finding constitutes a regulatory breach and the

subsequent logging of the breach on the Breaches Register

• Track remediation of the findings that have been identified

• Managing the closure of monitoring findings and recommendations

• Following compliance monitoring, make recommendations for actions required to

remediate findings

• Communicate findings in a clear and concise manner ensuring an understanding

of the requirements to remediate

• Identification of themes and areas for improvement

• To assist in the provision of compliance monitoring themed reviews and in the

preparation of reports which will include recommendations for addressing

identified areas of weakness

• Provision of guidance, advice and support to the wider business

• Maintain and enhance the working relationship between the wider Risk &

Compliance Team and the business areas through regular and effective


• Assist with the preparation of Management Information for escalation to the

appropriate forums

• Keep abreast of industry and regulatory change, recommending enhancements to

the compliance monitoring programme

• Support the Compliance Monitoring Manager in delivering the compliance

monitoring programme

• Make constructive proposals to improve the effectiveness of the Compliance

Monitoring Programme review process

• Supporting the Compliance Monitoring Manager in developing and maintaining

compliance monitoring programme

• Assist the Compliance Monitoring Manager with the preparation and delivery of

the annual compliance monitoring plan

• Encourage a positive, compliance culture throughout the business

• Experience of Client Due Diligence on-boarding requirements preferably in a law firm environment

•  Good knowledge of Microsoft applications, particularly excel.

• Working towards or hold the ICA Certificate in Anti-Money Laundering or Compliance (or equivalent) is desirable but not essential.


Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities. If you would like this job advertisement in an alternative format, please contact MERJE directly.