Compliance Officer Role
This position supports senior officers in implementing and enhancing the compliance control framework to ensure adherence to all applicable laws and regulations.
* Evaluate daily alerts for international sanctions, politically exposed persons (PEPs), and transactions to prevent money laundering and terrorism financing risks.
* Support global compliance control programs and identify potential non-compliance risks.
* Contribute to producing reports for governing bodies, Compliance Committee, and regulators.
* Oversight and due diligence of delegated activities, including distributors, fund transfer agents, and investment managers.
* Maintain regulatory watch, interpret obligations, and implement action plans, procedures, and controls.
* Implement, monitor, and validate Compliance procedures and policies.
Key responsibilities include:
* Risk Management: Evaluate daily alerts for international sanctions, PEPs, and transactions to prevent money laundering and terrorism financing risks.
* Compliance Control: Support global compliance control programs and identify potential non-compliance risks.
* Reporting: Contribute to producing reports for governing bodies, Compliance Committee, and regulators.
* Due Diligence: Oversight and due diligence of delegated activities, including distributors, fund transfer agents, and investment managers.
* Regulatory Compliance: Maintain regulatory watch, interpret obligations, and implement action plans, procedures, and controls.
* Procedure Validation: Implement, monitor, and validate Compliance procedures and policies.