Responsibilities:
- Implementing Group policy standards related to Customer Due Diligence (CDD) and Anti-Money Laundering (AML), Market abuse regulations, conflicts of interest, etc., within the local organization.
- Reviewing transaction monitoring rules to ensure compliance with regulatory requirements.
- Conducting compliance controls and testing to verify adherence to policies and regulations.
- Refreshing policy writing and reviewing cycles to keep up with evolving regulatory landscape.
- Implementing and adjusting client risk rating models to accurately assess and manage risk.
- Legal background by education, with the ability to perform operational legal work as needed.
Requirements:
- Bachelor's degree in law, business administration, or related field.
- Minimum of 3 years of experience in legal compliance or a similar role.
- Strong understanding of regulatory requirements, particularly in areas such as Customer Due Diligence (CDD), Anti-Money Laundering (AML), Market abuse, and conflicts of interest.
- Experience in implementing and enforcing compliance policies and procedures.
- Proficiency in conducting compliance controls and testing to ensure adherence to regulations.
- Excellent writing skills for policy development and review.
- Ability to adapt policies and procedures to meet changing regulatory requirements.
- Experience in implementing and adjusting client risk rating models is preferred.
- Legal background or education is advantageous.
- Strong analytical and problem-solving skills.
- Ability to work independently and collaboratively in a fast-paced environment.
- Excellent communication and interpersonal skills.
