Compliance Officer
JOB # 123 | LOCATION George Town, Grand Cayman, Cayman Islands |
Duties:
- Daily assistance with the risk and compliance checks/monitoring on transfer requests;
- Weekly monitoring and maintenance of the high-risk transaction review (Siron);
- Review of new account after 30 and 90 days for errors/consistencies/deficiencies;
- Monthly risk, compliance and AML reports to Head of AMLCO/MLRO;
- Manage cross border training register, disseminate updates and coordinate training whenever required;
- Track and chase outstanding account opening and KYC documentation;
- Assist Local Product Committee and Fiduciary Suitability Committee with compliance and reviews;
- Maintain and update IPM and BI registers of information;
- Maintain and update counterparty registers of information and respond to KYC requests;
- Assist in management of internal and external audits and any regulatory inspections;
- Assist with risk and compliance projects including FATCA, CRS, HRC and PEP review;
- Manage the annual file review process;
- Any other duties assigned by the Compliance Department and/or Senior Management.
Requirements:
- Minimum of (3) three years in Compliance;
- Relevant Compliance certification required (CAMS, ICA);
- Reasonable knowledge of financial service regulations, know your client, anti-money laundering and conduct of business;
- Moderate degree of knowledge with data analytics (in order to facilitate compliance checking against specially designated listings);
- Proficiency in Microsoft Office applications (Word, Excel, Outlook);
- Strong presentation and communication skills, telephone etiquette and customer-service skills;
- Absolute confidentiality for all clients;
- Strong interpersonal, negotiation and diplomacy skills with a high comfort level in dealing with Senior Management, Client Relationship/ Service Officers and external counter parties / stakeholders;
- Strong analytical skills;
- Demonstrate initiative, attention to detail, multitasking ability, organizational skills and effective prioritization of deadlines;
- Ability to communicate (oral and written) in English with Spanish or Italian being a definite asset;
- Ability to evaluate technical issues, analyze facts and consult;
- Broad thinker, capable of quickly interpreting information and presenting arguments in a clear and reasoned way;
- Must be able to work independently.