Design, review and revise compliance policies, procedures, and controls to meet applicable legislation, regulatory requirements and best practice standards.
Client/business partner onboarding, trade surveillance, conduct of business monitoring, general compliance monitoring, training and regulatory reporting as required.
Promoting, demonstrating and embedding a strong compliance culture.
Conduct due diligence checks and ongoing AML reviews for existing clients and business partners.
Act as key person for the oversight of all AML/CFT and sanctions matters, including implementation of effective and sustainable controls.
Oversee systems and controls to Identify and mitigate potential areas of AML compliance vulnerability and risks/gaps and develop/implement pragmatic corrective action plans.
Prepare reports for senior management, auditors and external regulatory bodies as appropriate.
Keep up to date with all relevant regulatory changes as well as evolving best practices, carrying out gap and business impact analysis.
Provide ongoing and ad-hoc support on compliance queries (both from internal and external stakeholders).
Review marketing materials to ensure compliance with regulatory and scheme requirements.
Assist with the identification, evaluation, monitoring and mitigation of operational risks; and proactively suggest improvements.
The Successful Applicant
Minimum 5 years overall industry experience with 2 or more years of direct wealth management/investments, compliance, KYC and AML experience with a financial institution.
Technical knowledge of applicable rules and regulations, including AML/CTF/Sanctions, VARA, Conduct of Business, FATCA/CRS, and Data Protection.
Knowledge of KYC, KYB and KYT with hands on experience on compliance software.
Knowledge of Chain Analysis, Elliptic or TRM Labs is a bonus.
Excellent English written and verbal communication, strong analytical, problem solving and organization skills.
Ideally have a Bachelors or Masters Degree from a top institution.
Be hands-on, detail oriented & able to function independently.
Have excellent attention to detail.
Have excellent communication skills both written emails and verbal.
