Compliance Officer- AML - (1804-COMOFF)

Our Client is seeking to recruit a Compliance Officer-AML for its operations.

Responsibilities:

. Low risk SMARTS alerts (currently 8 markets)

. Best Execution reviews – FICC and equities (Mifid requirement)

. Communications Monitoring – Bloomberg chat, Symphony, email, phone, Link etc

. Staff Dealing Clearance

. Review of staff trades against research reports

. Review of Wall Crossed analyst communications, Wall crossing procedures

. Review of firm’s trading activity against the restricted list

. Disclosure of Interest and Short Sell position monitoring/reviews across all business lines

. Monthly SEBI Reporting

. Review of PTTC staff trading communication items, reconciliation of staff statements against PTCC trade requests

. Data entry of Conflict Clearance forms into Conflict Management System

. Manual clean-up/review of Conflict management system

. CPT training recording/monitoring

. Assisting with updating Compliance Notices, regulatory update tracking

Profile:

. Up to 3 years experience including experience in AML/KYC/Sanctions such as:

   Review of clients on boarding documents, involvement in the KYC process

   Customer due diligence (CDD) and/or enhanced customer due diligence (EDD)

   Background check and risk assessment on clients and connected parties

   AML monitoring and analysis of transaction activities

   Client screening reviews