Senior Compliance Administrator - Client Complian at Summit Group Ltd

Assist the Head of Client Compliance in the delivery of an effective Compliance Framework, including but not limited to:

• Maintain and analyse client regulatory and compliance registers, e.g., complaints and breaches/errors
• Assist in the production of regular compliance reports for regulated clients, their committees and schedule 2 entities
• Assist with horizon scanning/regulatory change monitoring
• Record regulatory correspondence for regulated clients and schedule 2 entities
• Be responsible for assessing the daily screening hits and escalating hits referred to Client Compliance for mitigation and/or referral to CO/MLCO
• Assist with Client Reviews
• Assist with Compliance and regulatory queries
• Execute Transaction Monitoring Plan
• Execute Enhanced Monitoring Programme
• Execute Compliance Monitoring Programme