Job summary
Department
Function
About Our Client
A web 3.0 finance company.
Job Description
For Compliance Officer:
- Maintain the compliance policies and procedures;
- Maintain the compliance policies and procedures;
- Assist with the development and maintenance of the risk-based compliance program;
- Perform monitoring and surveillance reviews in line with the compliance monitoring plan;
- Provide support and guidance to staff on regulatory, policy and procedural issues and application;
- Produce Compliance management information;
- Assist with client enquiries and requests for information;
- Identify, log and resolve compliance issues, client complaints and policy and regulatory breaches;
- Assist with ad hoc projects, monitoring tasks and regulatory change;
- Provide compliance training to staff;
- File regulatory reports with the regulator.
For Money Laundering Reporting Officer：
For Money Laundering Reporting Officer：
- Maintain Anti Money Laundering policies and procedures;
- Support the Know Your Customer review process;
- Identify, analyse and report suspicious transactions;
- Provide Anti Money Laundering training to staff;
- Advise on regulatory implications of future business strategies;
- The day-to-day operations for compliance with the Firm’s AML policies, procedures, systems and controls;
- Act as a point of contact to receive Internal SAR notifications from staff;
- Making External Suspicious Activity Reports to the FIU and notifying the FSRA of any such reports;
- Receiving and acting upon any relevant findings, recommendations, guidance, directives, resolutions, sanctions, notices or other conclusions.
Requirements and Qualifications