Senior Compliance Officer
hace 1 semana
Job Title: Senior Compliance Officer
About the Role:
At Kantox Limited, we are seeking a highly skilled Senior Compliance Officer to join our Compliance team. The successful candidate will play a crucial role in ensuring the organization's compliance with regulatory requirements, particularly in the areas of MiFID and AML.
Key Responsibilities:
Advise senior management on business operations relating to investment, risks, and policy development.
Achieve complete compliance management systems in accordance with organizational plans and adherence to legislation and regulatory bodies' processes and procedures.
Manage the integration process with BNPP, working on different work streams and projects.
Hold overall team responsibility for the implementation of action plans from external auditors, GFS, or other regulators.
Qualifications and Skills:
Strong knowledge of industry processes and regulations, ensuring compliance at all levels, especially regarding MiFID and AML.
Analytical mindset paired with excellent organizational skills, enabling efficient problem-solving.
Ability to apply rules to real-life facts swiftly and accurately, ensuring effective decision-making.
High standards and meticulous attention to detail, ensuring precision in all tasks undertaken.
Executive management proficiency, adept at grasping the big picture while maintaining focus on operational efficiency and effectiveness.
Experience:
A minimum of 6 years experience as a Senior Compliance Officer or similar position.
Proven experience dealing with regulators or supervisors.
Professional certification such as Certified Compliance & Ethics Professional (ACAMS, ICA, similar).
Knowledge and Capabilities:
Sound understanding of regulatory guidelines and security policies, particularly AML and MiFID.
Risk assessment capabilities: The ability to assess alternatives and make decisions based on risk is critical.
Proven experience advising senior management on the next steps and providing recommendations on the next course of action, including relationship retention, termination, and Suspicious Activity Report (SAR) filing.
Proficiency in managing AML audits, ensuring compliance with regulatory requirements and facilitating smooth audit processes.
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