Nikeeta Beri
345 769 7002 Apply Now

Senior Compliance Officer

USD $95,000 – $115,000 / Plus Benefits


  • In conjunction with the current Compliance Team, executing the account opening process and undertake the KYC and AML review of all new and existing clients to ensure compliance with the standards of control required by the Cayman and group guidelines
  • Monitoring of document deficiencies on accounts and follow up on risk, compliance and tax related issues
  • In conjunction with the current Compliance Team, managing the ongoing periodic account reviews of accounts opened within the Branch and its affiliate Wealth
  • Providing ongoing support and where needed training to client facing employees on risk, compliance, tax and key operational issues including, but not limited to AML/KYC, cross-border, market abuse and other risk and control issues
  • Assisting the Head of Compliance with the implementation of new policies and procedures, updating of existing ones, to ensure compliance with all regulatory and legal operational risk requirements, and ensure compliance with those of the group’s International
  • Assisting the current Compliance Team in identifying, monitoring and managing the AML Compliance risk and complete the annual risk assessment
  • In conjunction with the Head of Compliance maintaining a relationship with the Cayman Islands Regulatory Authorities and ensure follow up and resolution of all regulatory issues
  • In conjunction with the current Compliance Team, ensuring follow up and tracking of internal and external audit issues
  • In conjunction with the current Compliance Team, approving transactions in accordance with the group’s parameters
  • Assisting with compliance projects and any other duties assigned by the supervisor, inclusive of special projects
  • Sanctions experience to assist with the implementation of the Sanctions Compliance Framework. In conjunction with the current Compliance Team, managing and executing the Regulatory Framework, keeping abreast of the changes within the regulatory industry and incorporating this change into local policy and procedure
  • Knowledgeable in FATCA and CRS and the associated reporting to assist in the review and upkeep of the tax compliance framework to ensure clients are properly coded for FATCA and CRS reporting


  • The successful candidate will be a university graduate with a recognized compliance qualification, with at least 5-7 years’ experience in Regulatory and AML Compliance in the financial services industry with excellent knowledge of legal, fiduciary, banking, risk and operational matters, possessing CAMS certification or equivalent.
  • The successful candidate must have an excellent working knowledge of the rules and regulations of the financial services industry and the key AML Compliance risks and controls and able to research and keep up to date as Regulatory Compliance is an ever-changing world
  • The successful candidate should possess excellent presentation and communication skills, strong organizational and excellent follow up skills, detailed oriented and ability to stick to deadlines; the ability to multitask and work well under pressure
Nikeeta Beri
345 769 7002 Apply Now

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