Senior Executive - Compliance
at LRI Invest
Ebene, Bayern, Germany -
| Start Date | Expiry Date | Salary | Posted On | Experience | Skills | Telecommute | Sponsor Visa |
|---|---|---|---|---|---|---|---|
| Immediate | 13 Jun, 2024 | Not Specified | 13 Mar, 2024 | 5 year(s) or above | Working Experience,Communication Skills,Discretion | No | No |
Required Visa Status:
| Citizen | GC |
| US Citizen | Student Visa |
| H1B | CPT |
| OPT | H4 Spouse of H1B |
| GC Green Card |
Employment Type:
| Full Time | Part Time |
| Permanent | Independent - 1099 |
| Contract – W2 | C2H Independent |
| C2H W2 | Contract – Corp 2 Corp |
| Contract to Hire – Corp 2 Corp |
Description:
Description
Senior Associate – Compliance
Role Location: Mauritius
Employment Type: Permanent
As a Compliance Senior Associate, you will be responsible for:
- Sending the initial KYC requirements list to clients, collate KYC documentation and review all KYC documents for prospective clients/ investors and to determine and request additional/missing documentation in terms of the AML/CFT Legislation
- Liaising with clients for any additional documentation or clarification required
- Review of KYC checklists
- To conduct file reviews and request additional supporting documents as required by AML/CFT legislation
- To conduct assurance testing and review draft report to compliance officer
- To review Administrator Compliance Reports to demonstrate compliance with licensing conditions
- Risk rating of clients and investors on internal software for AML risk profiling
- To conduct risk assessment on all prospective and existing clients
- Sign off (Second Review) on Investor KYC onboarding as part of FSC’s requirement
- Assist in any other ad hoc Client KYC / Due Diligence / Compliance related tasks and processes as requested by the Head of Department
- Provision or review of documents to be provided to Independent AML Audit Support
- Coordinating FATCA/CRS Reporting
- Coordinating and supplying of audit evidence to Internal Audit Team
- Coordinating Quarterly IMF surveys
- Completion of Regulatory surveys (annual AMLQ) and submission on portal
To apply for this Compliance Senior Associate role, you will need a degree and experience in a similar position. You will also require:
- 4 – 5 years of working experience in Anti-Money Laundering matters
- Well-developed & up-to-date knowledge of AML/CFT
- Knowledge of Ms Excel
- Excellent soft and interpersonal skill sets
- Attention to details, and ability to be multi-tasked
- Possess personal qualities of integrity, good communication skills, discretion, tact attention to detail, strong written skills
- Light supervision
- Ability to work under pressure and deliver within agreed timelines
- Ability to deal with sensitive and confidential matters
- Ability to interact internally with the various teams
How To Apply:
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Responsibilities:
As a Compliance Senior Associate, you will be responsible for:
- Sending the initial KYC requirements list to clients, collate KYC documentation and review all KYC documents for prospective clients/ investors and to determine and request additional/missing documentation in terms of the AML/CFT Legislation
- Liaising with clients for any additional documentation or clarification required
- Review of KYC checklists
- To conduct file reviews and request additional supporting documents as required by AML/CFT legislation
- To conduct assurance testing and review draft report to compliance officer
- To review Administrator Compliance Reports to demonstrate compliance with licensing conditions
- Risk rating of clients and investors on internal software for AML risk profiling
- To conduct risk assessment on all prospective and existing clients
- Sign off (Second Review) on Investor KYC onboarding as part of FSC’s requirement
- Assist in any other ad hoc Client KYC / Due Diligence / Compliance related tasks and processes as requested by the Head of Department
- Provision or review of documents to be provided to Independent AML Audit Support
- Coordinating FATCA/CRS Reporting
- Coordinating and supplying of audit evidence to Internal Audit Team
- Coordinating Quarterly IMF surveys
- Completion of Regulatory surveys (annual AMLQ) and submission on porta
To apply for this Compliance Senior Associate role, you will need a degree and experience in a similar position. You will also require:
- 4 – 5 years of working experience in Anti-Money Laundering matters
- Well-developed & up-to-date knowledge of AML/CFT
- Knowledge of Ms Excel
- Excellent soft and interpersonal skill sets
- Attention to details, and ability to be multi-tasked
- Possess personal qualities of integrity, good communication skills, discretion, tact attention to detail, strong written skills
- Light supervision
- Ability to work under pressure and deliver within agreed timelines
- Ability to deal with sensitive and confidential matters
- Ability to interact internally with the various team
REQUIREMENT SUMMARY
Min:5.0Max:10.0 year(s)
Financial Services
Accounts / Finance / Tax / CS / Audit
Finance
Graduate
A similar position
Proficient
1
Ebene, Germany
