Senior Associate – Compliance Solutions
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Key skills for this role
About the Role
Waystone seeks a Senior Associate – Compliance Solutions to support clients in executing compliance and AML deliverables. The role involves acting as Compliance Officer/MLRO, developing policies, conducting compliance monitoring, and providing training.
Key Skills for This Role
Responsibilities
- Provide day to day support to clients and colleagues in executing compliance and AML deliverables.
- Undertake the role of Compliance Officer/MLRO and possibly Risk Officer.
- Develop, initiate, maintain, and revise policies and procedures to ensure compliance with regulatory requirements.
- Draft and/or execute a compliance monitoring and testing program and perform desk based reviews.
- Assist and/or provide training on compliance, AML, and corporate governance.
- Provide outsourcing, authorization, and projects support to ADGM, DIFC, and onshore firms.
- Ensure regulatory returns and notifications are submitted on a timely basis.
- Undertake client on boarding/KYC.
- Be the first point of contact for internal suspicious activity reports and submit external reports.
- Manage client expectations and attend internal meetings.
- Assist in promoting the firm at industry events and producing publications.
- Keep abreast of relevant laws and regulations.
Requirements
- Minimum of 3 years’ experience in Compliance, AML, or at the Regulators.
- Educated to degree standard (or equivalent) preferred.
- Expected to obtain an AML or Compliance certificate within 3 months of joining.
- Well versed in Compliance, AML, and Risk Management.
- Internationally 3rd level professional qualification required.
Full Job Posting
Company Overview
- Waystone leads the way in specialist services for the asset management industry.
- Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects investment structures and strategies worldwide.
- With over 20 years’ experience and a comprehensive range of specialist services, Waystone serves assets under management in excess of $2Tn.
Essential Duties And Responsibilities
- Providing day to day support to clients and colleagues in executing compliance, and AML deliverables.
- Undertaking the role of Compliance Officer/MLRO and possibly Risk Officer.
- Develop, initiate, maintain, and revise policies and procedures to ensure compliance with various regulatory requirements.
- Drafting and/or executing a compliance monitoring and testing program and performing deskbased reviews.
- Commitment to minimum continuing professional development requirements.
- Assist and/or providing training on compliance, AML, and corporate governance.
- Providing outsourcing, authorization, and projects support to ADGM, DIFC, and onshore firms.
- Ensuring that the regulatory returns and relevant notifications are submitted on a timely basis.
- Undertaking client on boarding/KYC.
- Be the first point of contact for internal suspicious activity reports and when submitting external suspicious activity reports.
- Manage client’s expectations.
- Attending and contributing to internal meetings.
Experience
- The Senior Associate must have a minimum of 3 years’ experience either in Compliance, AML or at the Regulators and preferably educated to degree standard (or equivalent).
- A Senior Associate is expected to obtain an AML or Compliance certificate within 3 months of joining.
- A Senior Associate should be a well versed candidate, from within the Compliance, AML, and Risk Management space.
Education
- Internationally 3rd level professional qualification required.
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