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Compliance Assistant

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RSM UK

27d ago

  • Internship
    Full-time
    Summer Internship
  • Legal
    People, HR & Administration

AI generated summary

  • You need strong attention to detail, excellent communication skills, GCSE Maths and English (C/4+), proficiency in MS Office, and the ability to prioritize and meet deadlines.
  • You will assist with client due diligence, admin tasks, drafting letters, improving onboarding processes, and learning AML compliance procedures, including checks for beneficial ownership and conflicts.

Requirements

  • This role is suited to someone with a keen eye for detail and excellent verbal and written communication; an individual with a flair for customer service who can write clear and concise emails to clients and internal stakeholders. You will have GCSE (or equivalent) Maths and English at grade C / 4 or above and demonstrate proficient abilities in MS Office and Windows applications.
  • You may have had successful involvement in any of the following areas: client account management, Anti-Money Laundering (AML), KYC, legal, office management, banking, customer/client service and/or client on-boarding. We do offer full training within the role, so experience within these areas is desirable but not necessary. The following competencies are required:
  • Excellent organisation, with the proven ability to meet deadlines and prioritise work whilst maintaining accuracy and focus.
  • Strong problem-solving skills with an analytical approach.
  • Confidence in communicating with people at all levels.
  • Examples of initiative and being able to work well within a team environment.

Responsibilities

  • The Compliance Assistant will be part of the PAP Compliance Team which acts as the central processing area for the business line’s clients, ensuring necessary client due diligence is carried out and kept up to date in accordance with UK Anti-Money Laundering Regulations (AML) and that signed engagement letters are in place.
  • Playing an active role in assisting with the team with a variety of admin tasks including email maintenance, populating spreadsheets, sending out engagement letters to be electronically signed, creating forms and updating client questionnaires.
  • Working along side the team drafting professional clearance letters to send to prospective clients’ existing payroll provider/accountants and follow up to ensure a response is received within the correct timescale. Drafting engagement letters for new and existing clients/engagements using the firm’s standard template (reviewed and checked by Senior Compliance Executives/Compliance Manager.
  • Offering new ideas to the team on how to improve the client onboarding process.
  • Successfully learning how to complete anti-money laundering client due diligence on clients in accordance with internal procedures and money laundering regulations. This includes understanding different structures of clients, tracing beneficial ownership and analysing results of electronic checks to identify possible PEPs or sanctioned individuals, as well as carrying out conflict checks with other services provided by RSM UK and the international network.

FAQs

What is the primary responsibility of a Compliance Assistant at RSM?

The primary responsibility of a Compliance Assistant at RSM is to assist the PAP Compliance Team in ensuring client due diligence is carried out and maintained in accordance with UK Anti-Money Laundering Regulations (AML) and that engagement letters are in place.

What qualifications are needed for the Compliance Assistant role?

Candidates should have at least GCSE (or equivalent) Maths and English at grade C / 4 or above and demonstrate proficiency in MS Office and Windows applications.

Is prior experience in Anti-Money Laundering (AML) necessary for this position?

No, prior experience in AML is not necessary as RSM offers full training for the role. However, experience in related areas such as client account management or compliance is desirable.

What skills are required for success as a Compliance Assistant?

The required skills include excellent organization, strong problem-solving abilities, effective communication, and a proven ability to work well within a team environment.

How does RSM support diversity and inclusion in the workplace?

RSM aims to create a strong sense of belonging where individuals of all identities, backgrounds, and cultures feel comfortable bringing their true selves to work. They promote diversity in their teams to better understand and meet the needs of their diverse client base.

What kind of tasks will the Compliance Assistant perform?

Tasks include administrative duties such as email maintenance, populating spreadsheets, sending engagement letters for electronic signatures, drafting professional clearance letters, and conducting anti-money laundering client due diligence.

What are the working arrangements for this role?

The role offers hybrid and flexible working arrangements, allowing for a mix of remote and in-office work.

How many holiday days are offered to employees?

Employees receive 25 days of holiday, with the option to purchase additional days.

What professional development opportunities are available?

RSM provides access to a suite of over 300 on-demand courses developed by their in-house talent development team, helping employees to grow professionally.

Is strong communication important for the Compliance Assistant role?

Yes, strong verbal and written communication skills are essential for writing clear and concise emails to clients and internal stakeholders.

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RSM UK

Leading provider of audit, tax & consulting services. Experience the power of being understood.

Accounting
Industry
1001-5000
Employees
2015
Founded Year

Mission & Purpose

As a leading global network, we share skills, insight and resources, as well as a client-centric approach that’s based on a deep understanding of business. This is how we empower our clients and people to move forward with confidence. This is The Power of Being Understood.

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