Basingstoke 01256 336 100

Winchester 01962 865 152

Compliance Executive

  • Location

    Guildford, Surrey, England

  • Salary

    Attractive Salary

  • Contract

    Permanent

  • Reference

    43232

Compliance Executive

Guildford

Attractive Salary

Permanent, Full Time

Role requirements:


  • Follow guidelines and procedures to complete client due diligence on new and existing clients. Understand the various structures of clients, beneficial ownership and analyse results of checks.
  • Write drafts of engagement letters for existing and new clients ensuring that the firms standard template is used and is signed by both parties before being returned
  • Act as a vital point of contact for compliance enquiries from clients, colleagues and internal partners
  • Change and amend T&C’s from clients and present to the Senior Compliance Executive or Compliance Manager.
  • Ensure that documents are compliant with GDPR and that the correct documentation is in place if third-parties are involved
  • Assist payroll teams with client disengagement and compliance related communications with clients
  • Make changes to client details and engagements on the firm’s practice management system
  • Ensure all documentation is filed correctly (paper & electronic) and maintain client folders on the network drive
  • Any other duties as requested by the Compliance Manager and Head of Compliance

Candidate requirements:


  • Strong business fluency in written and verbal English
  • GCSE Maths and English Language at Grades A to C (or equivalent)
  • Excellent proficiency in MS Office applications
  • Proven office work experience
  • Excellent attention to detail
  • Hard working and conscientious
  • Pleasant, approachable, patient and polite
  • Able to meet deadlines, prioritise work and work under pressure with accuracy and focus
  • Performance driven and results orientated; strong problem solver
  • Confident and pro-active in communicating with people at all levels
  • Show initiative and work well within a team environment
  • Able to communicate tasks ensuring they are clearly understood
  • Willing to go the extra mile in order to meet client requirements, solve their problems and meet their deadlines
  • Able to research independently and work alone
  • Willing to learn new tasks and take on new responsibilities where needed
  • Strong organisational and time management skills
  • Constructively challenge decisions
  • A degree is not essential for this role and no professional qualifications are required


  • Previous KYC/Onboarding experience is beneficial but not essential
  • Experience of working in a professional services firm is preferred
  • Understanding of payroll is beneficial but not essential
  • Business development or account management experience preferred but can be trained

1-1 Recruitment is one of the leading recruitment agencies for jobs in Basingstoke for permanent, temporary and contract recruitment solutions. Due to the high volume of applications we`re receiving, if you do not hear from a consultant within 5 days, unfortunately your application has been unsuccessful on this occasion. In the meantime please keep an eye on www.1-1recruitment.co.uk for any other potential vacancies.

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