VP, WM Compliance

You will document and report findings and advise on remedial measures to facilitate effective corrective actions, where unusual activities or deficiencies in compliance with regulations, procedures or best practices have been identified.  You will prepare reports to management/ stakeholders regarding the status of recommendations, made as a result of monitoring review findings.  You will identify new and emerging risks from business and regulatory developments and assess their impact on the monitoring program.  You will be involved in implementation projects i.e. implementation of surveillance applications/ models, changes/ enhancements, as well as conduct investigations and filing suspicious transaction reports (STRs), as appropriate.

From time to time, you will provide support to the onboarding/ periodic review process to ensure conformity to minimum AML/ CFT/ CDD standards, and produce client risk assessments, due diligence analysis, and award a risk rating, where appropriate.  You will provide advisory service to the business with regard to client identification and onboarding requirements, and proactively identify and mitigate potential issues on onboarding or other related processes, as appropriate.  You will assist with the preparation, presentation of new and existing client relationships to a local control committee with the objective of obtaining business and compliance management approval, before conducting business with a client.

You will provide support on projects pursuant to management requests or necessitated by events, such as local and global internal audits and periodic inspections by the regulatory authorities.  There will be opportunities to participate in a range of developmental projects, mainly focusing on procedures development, process improvement initiatives and enhancing the existing controls.

Pre-requisites:

September 9, 2013 • Tags: , • Posted in: Financial

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