Our Client In The Financial Services Sector Is Looking To Hire a Senior Compliance Associate. The Senior Compliance Associate Is Responsible For Overseeing An Organization’s Compliance With Government Laws And Regulations. Duties Of The Incumbent Include Coordinating With Company Management To Identify Potential Risks, Implementing Policies And Procedures To Uphold Laws And Regulations And Monitoring The Company’s Adherence To Those Policies And Procedures.
Duties And Responsibilities
Assisting The Compliance Officer In The Daily Duties
Drafting Aml / Compliance / Other Reports
Assisting With Independent Compliance Audits
Assisting With Fsc Inspections
Reviewing And Collating Kyc Documents Of Prospective Clients
Conducting Risk-Rating Of Existing And Prospective Clients
Screening Existing And Prospective Clients / Companies
Ensuring That All Records Are Properly Kept
Conducting Transaction Monitoring
Conducting File Reviews
Reviewing Expiry Of Kyc Documents Of Existing Clients And Issuing Request Letters
Completion Of Aml Surveys
Other Ad Hoc Duties
Qualifications And Experience
Degree Holder (Minimum 2:1 In Management / Law / Finance)
At Least 3 Years Of Relevant Experience Plus a Professional Qualification