- Ensure CDD is scanned and updated to ViewPoint.
- Update ViewPoint in a timely manner with any new client details which are made available.
- Conduct scrubs in the WorldCheck database in line with compliance policy manual, reporting any adverse information to Client Relationship Manager / Compliance Officer in a timely manner.
- Determine and notify Business Team of CDD required for specific entity types, depending on transaction type and risk rating.
- Where high risk elements have been identified, review PEP and LAC forms to ensure full completion; incorporate Compliance notes and risk details and prepare and circulate PEP/LAC applications for consideration.
- Following LAC meeting, advise Business Team of PEP Committee and LAC decisions, prepare LAC summary, action any conditions imposed by LAC, ensure ViewPoint is updated.
- On an ongoing basis, communicate with the Business Team regarding outstanding CDD for client entities and all relevant related parties as well as ensure that current and accurate contact details are maintained in ViewPoint
- Where CDD remains outstanding, monitor and chase the Business Team at regular intervals for up to three months at which time, escalate to Compliance Officer and Senior Management
- Ensure that all relevant CDD from Internet research as well as CDD received from client contacts and intermediaries are stored in ViewPoint with all appropriate notes and approvals conducted where appropriate.
- Provide KYC advice and guidance on an on-going basis to the Business Team.
- Review and analyse specific client files to ensure compliance with applicable AML (and related) requirements and consider whether risk ratings should be adjusted.
- Account for time spent on CDD analysis and enter chargeable time for high risk reviews, PEP and LAC approvals, CDD onboarding fees etc.
- University degree or equivalent combination of education and experience with a professional anti money laundering qualification.
- Analytical - Ability to systematically and accurately review documents and files for necessary data, check records for accuracy, update documents to completion and retrieve data to answer questions
- Knowledge – Understanding of compliance reporting principles, corporate governance, relevant local AML regulations and best practices
- Project Management – Assist with projects and provisions of status updates to senior management
- Reporting – Communicate clearly and objectively on work completed and status of client matters
- Training – Ability to guide and assist junior team members with new skills and knowledge that will enhance their product and add value to the client service offering
- Accountability - Adhere to deadlines and appointments; act in accordance with organizational and quality standards; take responsibility for own actions whilst completing work in an efficient manner
- Adaptability - Continue to work effectively when tasks change; not lose balance when workload increases; able to handle feedback and challenges, remain focused when given a deadline
- Attention to Detail - Remain focused when dealing with detailed information; check own work for accuracy
- Communication – Effectively convey information and express thoughts and facts; demonstrate effective use of listening skills and is open to colleague's ideas and thoughts; is able to develop professional relationships with colleagues and clients from all walks of life and with multi-cultural backgrounds
- Client Focus – Monitor and meet the needs of clients, responding to them in a timely manner and continuously seeking to provide the highest quality service – ensuring client satisfaction
- Integrity – Adhere to commitments and treats all equally, respectfully and without discrimination
- Leadership – Demonstrate awareness of the ways in which own actions impact the team; Demonstrate fairness in all actions by setting the standard and acting as a role model for others to follow
- Occupational Knowledge – Demonstrate proficiency in the role and commitment to continuous learning, improvement and development to include the application of changes in relevant laws and legislation, technology (hardware, software, equipment and processes)
- Proactivity – Commence tasks and duties without line manager request; proactively seize opportunities that will assist the team and improve services
- Teamwork – Work cooperatively and effectively with others to achieve common goals
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Compliance Analyst - Barrow-in-Furness, United Kingdom - Corporation Service Company
Description
Compliance Analyst
Tortola, British Virgin Islands
Monday-Friday, 8:30AM-5:00PM
Onsite
The Compliance Analyst has responsibility for obtaining, analyzing and maintaining client due diligence (CDD) information to ensure Intertrust BVI is fulfilling its legal and regulatory obligations.
Duties and Responsibilities:
What technical skills, experience and qualifications do you need?
Behavioural competencies required:
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