Responsibilities

• Fulfilling the role of Compliance Officer of a regulated entity
• Liaison with external MRLO/DMLRO as necessary
• Oversee Client Onboarding and subsequent KYC documentation maintenance.
• Keeping under review business processes to ensure compliance with laws & regulations and general mitigation of risk
• Undertaking entity risk assessment
• Keeping Compliance related documentation such as Compliance Manual, Business Risk Assessment etc. up to date
• Maintaining the PEP Register
• Maintaining logs (declined business etc.)
• Reviewing “hits” from screening software
• Training staff on compliance matters
• Preparing reports to the Directors and attendance at Management & Board meetings.
• Issue EI Forms and maintain log of EIF’s issued.
• Assist staff as needed with compliance related issues or concerns.
• Assisting with internal audit functions
• Assisting with CIMA reporting requirements
• Providing similar assistance to HSM Chambers (as above) in respect of regulated business

Qualifications and Experience

• At least 3 years’ experience in a regulatory/compliance role within a legal or corporate services environment
• ACAMS or equivalent highly desirable, in addition to a Bachelor’s degree
• Excellent working knowledge of the Cayman regulatory framework, including AML/CFT/CPF requirements
• Viewpoint experience
• Ability to use initiative and proactively identify issues and solutions