Job role

Compliance Executive

The Compliance team is looking to expand, adding a highly motivated, detail-orientated and enthusiastic individual. This is an exciting opportunity to join a dynamic and ambitious team, where you will be responsible for corporate and private clients’ registrations and ensuring ongoing compliance with internal policies and regulation.


Payments, Operations & Administration; Management Support

What you will do

Key accountabilities

  • Managing onboarding (KYC) for private and corporate clients, including conducting CDD and EDD
  • Take ownership of sanction screening with exceptions being cleared or escalated to MLRO as needed and in line with internal policies and procedures
  • Work closely and transparently with sales team to ensure a speedy and complaint onboarding process, including collation of documentation
  • Collation of registration documentation, contacting certifiers, verifying beneficiaries and liaising with counterparties
  • Perform ongoing monitoring on client base. This includes transaction monitoring and recordkeeping
  • Ensuring compliance in line with internal AML Handbook
  • Act as main point of contact between sales team and compliance department regarding onboarding clients
  • Review and escalate any concerns directly to the MLRO
  • Production of weekly/ monthly reporting to MLRO
  • Working effectively within a team to meet and exceed expectations

Skills and experience required

  • The successful applicant will be a must be numerate, accurate, personable and organised, with an excellent telephone manner and exceptional attention to detail
  • You will need to be proactive, enthusiastic and confident
  • A legal, compliance or finance qualification or studying towards one would be beneficial
  • Financial services and compliance experience desirable
  • An understanding of the regulatory landscape is desirable but not essential
  • Knowledge whether written or spoken of other languages would be advantageous
  • Career progression and training is available with the firm
Join us at Aston

Does this role sound like a good fit for you? Apply now and we will get back to you as soon as we can.

Apply now