Compliance Officer

21 مايو، 2023

0 0 2 دقائق

Compliance Officer

الوصف الوظيفي

Assisi with updating procedures relating to the Department’s process of utilizing the AML System
Monitoring regulatory changes associated with Financial Institutions and TFS, ensuring communication of new requirements and assisting the business and infrastructure areas in revising policy and process to meet new regulatory requirements, as appropriate.
Reporting to compliance officer on observed non-compliance of relevant AML procedures for appropriate correcting actions.
Assist with the Firm’s compliance monitoring program including performance day to day administrative tasks such as data gathering, file maintenance, internal and external correspondence and other compliance program administrative duties as may be necessary.
Maintain oversight on the customer onboarding or periodic review of the customers.
Report promptly to the compliance officer any breach of policies and procedures and any suspicious transactions.
Operate the IEMS integrated enquiry management System to submit for suspicious transaction report.
Assist in the Firm’s regulatory filing obligations and in preparation for and response to regulatory inquiries from regulatory bodies.
Recommend modifications, weed anomalies, present findings and revised thresholds to AML Advisory with trend analysis.
Gathers information and documentation for day-to-day compliance tasks, including client onboarding process.
Assists the team in managing compliance relationships with internal and external stakeholders, and generally prompting a positive compliance culture.
Provide guidance to employees on compliance issue, including employee training as appropriate.
Assist with annual compliance review, regulatory audits, investor due diligence review and other ah-hoc projects on an as needed basis.
Reviewing, assessing and advising on potential AML issues.
Highlight and escalate suspicious trends to AML advisory.
Be responsible for business delivery of AML monitoring effectiveness.
Assists with key department work streams with appropriate guidance.
Attend and take minutes of the Company’s Compliance Committee meetings.
Generate and maintain various required records.
Assist with assembling compliance reports for CCO to review.
Provide general administrative support to CCO and ACO.
Assist CCO in providing compliance guidance and training to employees.
Assist with drafting memos and conducting audits.
Maintain compliance calendar and address current regulatory changes as applicable.
Assess internal compliance risks and potential conflicts of interest.