· Supervise and assume responsibility for the management of the local risk and compliance team.
· Act as Deputy to other senior registered compliance individuals and provide technical support and guidance to the Compliance Team.
Maintain and regularly update the regulatory & compliance registers, including: complaints, matters of concern, sensitive cases, suspicious transactions, potential litigation and litigation, high risk clients, PEP/high profile clients, exceptions to client administration policy, closures, gifts and entertainment.
· Maintain, execute and regularly update the core local compliance and monitoring systems.
· Carry out periodic checks, audit tracks and monitoring to confirm compliance with legislation, regulations, guidance and internal policies and procedures.
· Carry out compliance checks of new business proposals and extensions to then make a recommendation to management regarding the on-boarding or rejection of the potential client.
· To drive specific risk and compliance projects.
· Maintain an up-to-date awareness of the various requirements under local law, regulations and regulatory guidance as they apply to compliance.
· Assist in ensuring that regulatory notices are analysed and distributed as appropriate.
· Issue Group Introduction Certificates, and assist in the issue of Introduction Certificates as they relate to KYC/CDD documents. Carry out testing of introductions where required under regulatory guidance.
· Help drive the anti-money laundering culture within the business through dissemination of appropriate information and training, including providing anti-money laundering & compliance training, monitoring that all relevant staff comply with training obligations under applicable regulations and where required develop / deliver internal training.
· Active participation in the new business committee take on process.
Clients Policy Procedures Regulatory Compliance ARe Support Entertainment Legislation Checks Participation Technical Support Regulations Administration Testing Business Training Management