Compliance Professional Role Overview
The compliance function works closely with business units and control functions to ensure adherence to laws and regulations applicable to the financial industry.
As a Senior Compliance Officer, you will contribute to the success of the overall compliance function embedded in a broader approach across the organization.
Main Responsibilities:
* Maintain and improve the compliance framework
* Monitor regulatory obligations and requirements in EU countries regarding Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF)
* Ensure the compliance framework aligns with industry standards and regulatory requirements
* Review client profiles at on-boarding to ensure conformity to AML/KYC policy/standards
* Perform regular and ad-hoc compliance-related reviews of client files
* Review fund acceptance at on-boarding to ensure conformity to AML/KYC policy/standards
* Review/supervision of alerts arising from database screening against sanctions lists
* Overview of business/blocking rules and account stops handling
* Prompt submission of draft Suspicious Activity Reports (SARs)/Suspicious Transaction Reports (STRs) to the relevant compliance team
Requirements:
* University degree in law, finance or a comparable field
* Detailed understanding of the funds industry
* 5+ years experience in the Compliance function or similar field (Audit, Control, Legal etc.)
* Knowledge in AML, KYC, Other Criminal Offences/Fraud, Prevention of Market abuse
* Experience in managing senior stakeholders and operating in complex matrix organizations