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Compliance Officer
Ballards LLPCompliance Officer supporting compliance framework focused on AML legislation and data privacy regulations. Responsibilities include due diligence, monitoring activities, and administrative support.
ATS Keywords
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Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
AMLdue diligencebeneficial ownership verificationrisk-based file reviewsdata privacy administrationcompliance monitoringrecord maintenanceaudit readinessfinancial crime preventiondata subject rights requests
Soft Skills
communicationorganizationalattention to detailproblem-solvingcollaborationtime managementtraining coordinationreportingescalationsupport
Tools & Technologies
dashboardscase logsAML registerscompliance policiesguidance notesincident tracking systemsdata processing recordsretention tracking toolsaudit documentationmanagement information systems
Industry Keywords
compliancerisk managementdata protectionfinancial crimeregulated environmentonboardingICEAW Regulatory requirementssanctions screeningpolitically exposed persons (PEP)process-driven tasks
About the role
Key responsibilities & impact- Assist with Client and third-party due diligence processes, including identification checks, verification of beneficial ownership, screening against sanctions and politically exposed persons (PEP) lists, and risk-based file reviews.
- Support ongoing AML monitoring activities, including periodic reviews, trigger event reviews, and maintaining accurate AML and know-your-Client records.
- Escalate unusual activity, incomplete information, or potential financial crime concerns to the Risk and Governance Director in a timely manner.
- Maintain AML registers, case logs, and supporting documentation to ensure records are complete, accurate, and audit ready.
- Support the administration of data privacy processes, including data subject rights requests, breach logging, records of processing activities, retention tracking, and policy updates.
- Assist with the review and maintenance of compliance policies, procedures, templates, and guidance notes relating to AML, financial crime, confidentiality, and data protection.
- Help prepare management information, dashboards, and routine reports on compliance activity, outstanding actions, incidents, and trends.
- Provide support for internal monitoring, file reviews, audits, and compliance testing exercises, including collating evidence and tracking follow-up actions.
- Respond to routine compliance queries from colleagues and direct more complex issues to the Risk and Governance Director.
- Support staff awareness initiatives by helping to coordinate training, reminders, and communications on AML, data privacy and ICEAW Regulatory requirements.
- Liaise with operational teams to ensure compliance actions are completed within required timescales and documented appropriately.
- Undertake general administrative and project support for the wider compliance function as required.
Requirements
What you’ll need- Previous experience within compliance, legal, risk, accountancy, or a regulated environment is desirable.
- Experience of AML, onboarding, data protection administration, or compliance monitoring would be advantageous.
- Demonstrable experience of maintaining accurate records and working with process-driven tasks is preferred.
Benefits
Comp & perks- Flexible working hours
- Professional development opportunities
- Health insurance