Regulatory Compliance Officer

Responsibilities:

• Implementing Group policy standards related to Customer Due Diligence (CDD) and Anti-Money Laundering (AML), Market abuse regulations, conflicts of interest, etc., within the local organization.
• Reviewing transaction monitoring rules to ensure compliance with regulatory requirements.
• Conducting compliance controls and testing to verify adherence to policies and regulations.
• Refreshing policy writing and reviewing cycles to keep up with evolving regulatory landscape.
• Implementing and adjusting client risk rating models to accurately assess and manage risk.
• Legal background by education, with the ability to perform operational legal work as needed.

Requirements:

• Bachelor's degree in law, business administration, or related field.
• Minimum of 3 years of experience in legal compliance or a similar role.
• Strong understanding of regulatory requirements, particularly in areas such as Customer Due Diligence (CDD), Anti-Money Laundering (AML), Market abuse, and conflicts of interest.
• Experience in implementing and enforcing compliance policies and procedures.
• Proficiency in conducting compliance controls and testing to ensure adherence to regulations.
• Excellent writing skills for policy development and review.
• Ability to adapt policies and procedures to meet changing regulatory requirements.
• Experience in implementing and adjusting client risk rating models is preferred.
• Legal background or education is advantageous.
• Strong analytical and problem-solving skills.
• Ability to work independently and collaboratively in a fast-paced environment.
• Excellent communication and interpersonal skills.