Junior Compliance Officer (German Speaking) at CA Global

Role Summary:

• The role of a Junior Compliance Officer is primarily to conduct CDD on new clients of the firms practices located in Dusseldorf, Frankfurt, Hamburg and Munich and to ensure that the relevant AML policies and procedures to which the firm adheres to are fulfilled at all times.
• In addition support the partners, PA's and other business services staff from these locations in German at a professional Level

(Fluent German in NON NEGOTIABLE)

The role profile would include: 

Client Research

• Conduct client due diligence on new clients of the firm based on the 5th AML Directive of 2019 and complete related tasks to ensure compliance. 
• Conduct a high degree of personal research from public sources including: 
•  Familiarisation with a wide array of potential sources such as company registries, stock exchange websites, financial and legal regulators' websites, company search providers and external databases. 
• Liaise with legal staff, support staff and research teams to obtain any outstanding CDD information. 
• Liaise with companies support departments, notably the Finance, Research, Conflicts and also Personal Assistants. 
• Where appropriate and where asked to, liaise directly with the firm's clients regarding CDD requirements. 
• Assist those conducting CDD on new clients when required. 
• Conduct risk rating reviews on clients taking into account the information gathered during the CDD process including research relating to ongoing investigations (adverse press) against certain clients and determining whether a risk level of a client may be lowered or should be raised. 
•  Utilise external subscription databases to screen existing clients, their directors and shareholders in order to identify PEPs, influential persons, presence on Sanctions lists, criminal activity and adverse press. Escalate these issues where appropriate. 

Reports and Database Administration 

• Review the CDD held on existing clients of the firm by updating CDD held for registered clients Ensure that CDD is updated to the appropriate standard, including an enhanced
• level of due diligence where required. 
• Document the evidence obtained during the CDD process in a clear and concise manner. 
•  Where it becomes clear when conducting Ongoing Monitoring or CDD that certain details of the client have changed since it has been registered as a new client, such as the client’s registered name, the parent group or the registered address, take appropriate action to update this on the 3E client database and communicate these changes to the respective stakeholders. Assist in maintaining the firm's PEP databases. 

Advisory and Projects 

• Provide advice and guidance to partners, fee-earners and support staff in relation to the requirements of Compliance legislation and the interpretation and application of the firm's AML/CDD policy. 
• Participate in administrative projects under the supervision of more senior Compliance Officers, specifically relating to Ongoing Monitoring.
   

Skills and Requirements;

• Grade 12
• BCom, LLB or equivalent (at least in final year)
• Knowledge of a centralised/ shared services environment 
• Excellent oral and written communication skills 
• Strong organisational, administrative and time management skills 
• Commercial awareness Behavioral competencies 
• Ability to handle queries efficiently with diplomacy and tact 
• Ability to follow instructions precisely 
• Adapting and responding to change 
• Strong work ethic with an inherent sense of urgency 
• Delivering results and meeting business expectations 
• Working with others 
• Delivering through others