Nikeeta Beri
345 769 7002 Apply Now

Senior Compliance Officer

| Compliance
US$90-110k DOE


  • The role holder will report directly to the Senior Director – Cayman Office Client Risk & Compliance / MLRO
  • You will be responsible for ensuring that the Company has robust arrangements for complying with relevant regulatory requirements, maintain a Client Risk Review function and Registers to adhere to its compliance monitoring programme.
  • Act as Compliance Officer in all aspects of Client Compliance and Anti Money Laundering (AML).
  • Liaise with Cayman Islands regulatory body, CIMA.
  • Overseeing/supervising the client review function within the Client Risk & Compliance Team with assistance from the relevant Administrators to include all matters relating to Client Risk Reviews and Review Meetings.
  • Assist in the implementation and ongoing effective compliance/transactional monitoring in accordance with regulatory business requirements.
  • Arrange the compilation of the Compliance Report for the monthly Risk Committee Meeting and Board Meeting.
  • Manage and mitigate risk through independent programme of thematic reviews and quality assurance checking. Employ a range of investigative techniques including file reviews, desk-based analysis and in depth interviewing.
  • Produce and maintain accurate schedules of findings and key review documentation.
  • Assist in the production of key review outputs e.g. review reports and participating fully in the identification and assessment of risk.
  • Carry out analysis within set parameters and produce reports, summarising trends and key messages for internal and external stakeholders advising business stakeholders of necessary action to ensure compliance.
  • Assist with identifying and implementing any amendments to policies and procedures identified as a result of the above and liaising with the Client Risk & Compliance Director and Corporate Governance in respect of the same.
  • Liaise with Corporate Governance in respect of any required amendments to procedures arising from on-going mapping of procedures to relevant Legislation/ Codes of Practice.
  • Manage the operation of specific Compliance personnel through the checking, delegating and controlling of workloads.
  • Conduct annual appraisals and interim reviews for line reports, setting SMART objectives as applicable.
  • Attend interviews for new recruits where required.
  • Provide Risk & Compliance support in respect to projects relating to AML and Compliance matters.
  • Promote awareness of regulatory principles and requirements on a day to day basis.
  • Plan and implement strategy and activities with the Client Risk & Compliance team consistent with the aims and requirements of the Group, the team’s Business Plan and KPI’s.
  • Arrange the delivery of training to all divisions.
  • Awareness and adherence to contractual and statutory obligations under the Group’s policies, procedures and guidelines, including the Group’s core values and expected behaviours, acting as a guide in this respect to more junior members of the team.
  • Develop self and maintain knowledge in relevant field at all times.
  • Adhere to CPD requirements in accordance with qualification level and in-house procedures.
  • Ensure the spirit of the Company is engendered and shared within the Group.
  • Any other duties as deemed necessary by the Board.
  • Train, develop, motivate and monitor the progress of employees within the Client Compliance Team.


  • Must have five years+ Compliance experience.
  • Must be a team player and have a passion for Compliance work.
Nikeeta Beri
345 769 7002 Apply Now

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