Job Description

Roles & Responsibilities

The Compliance Officer SCA Level 3 will be responsible for managing regulatory compliance, including AML/KYC processes, monitoring, reporting, policy implementation, regulatory filings, and client onboarding controls. The role also involves supporting business operations through audits and coordination with the SCA.

Desired Candidate Profile

Responsibilities:

• Manage regulatory compliance.
• Oversee AML/KYC procedures.
• Conduct monitoring and reporting.
• Implement policies and procedures.
• Handle regulatory filings.
• Ensure client onboarding controls are in place.
• Coordinate audits.
• Liaise with the SCA.
• Support business operations.

Company Industry

• BankingFinancial ServicesBroking

Department / Functional Area

Job Description

Roles & Responsibilities

The Compliance Officer SCA Level 3 will be responsible for managing regulatory compliance, including AML/KYC processes, monitoring, reporting, policy implementation, regulatory filings, and client onboarding controls. The role also involves supporting business operations through audits and coordination with the SCA.

Desired Candidate Profile

Responsibilities:

• Manage regulatory compliance.
• Oversee AML/KYC procedures.
• Conduct monitoring and reporting.
• Implement policies and procedures.
• Handle regulatory filings.
• Ensure client onboarding controls are in place.
• Coordinate audits.
• Liaise with the SCA.
• Support business operations.

Company Industry

• BankingFinancial ServicesBroking

Department / Functional Area