COM-Central Compliance Professional

The Financial Crime Monitoring Team is responsible for identifying these risks, and for escalating the same to respective regional / global Compliance teams for review and action.

Role Responsibilities:

• Ensure adherence to global and regional Financial Crime related policies and procedures.
• Be a key point of contact with regards to providing advice to Senior Management and other relevant stakeholders on Financial Crime Related Matters.
• Ensure effective and timely escalation of issues requiring management attention and review.
• Work with regional stakeholders towards implementing best practices and minimum operating standards.
• Review alerts generated against international sanctions (OFAC), politically exposed persons, and adverse media lists.

• Review and advise on other financial crime related matters including Anti-bribery and Corruption (e.g., Gift and Entertainment escalations) and Sanctions.
• Review any suspicious activities or transactions and assist the Money Laundering Reporting officer.
• Participate in regional or global projects or initiatives, as required, resulting from changes in legal or regulatory requirements and / or expectations and new business strategies.
• Assist the FCMT Team Lead in in liaising with stakeholders on relevant related Financial Crime matters.
• Ensure support for execution of senior management functional responsibilities, as applicable.
• Prepare and present MIS to senior management and key stakeholders.
• Ensure quality deliverables as per standard operating procedures, in a timely manner.
• Ensure strict adherence to the firm s and process related guidelines.
• Identify processing and operational risks proactively and formulate steps to mitigate the same.

Domain / Technical

• Basic understanding of Investment Banking business and the Financial Regulatory environment
• Sound understanding of AML, KYC, Sanctions and Conflict of Interest related regulations, processes and functions.
• Prior experience in the Securities or Financial services industry
• Sound product knowledge of financial products
• Good MS office skills, Presentation, MIS, Data Analysis, Project Management
• Proven ability to think outside the box in case existing procedures do not specifically indicate a solution .
• Excellent communication skills (Written and Oral) with experience in dealing with external stakeholders.
• Eye for detail to proactively identify issues and breaches in order to mitigate potential risk

• Compliance Background.
• Knowledge of advanced Excel functions / Excel macros
• Ability to multitask and handle high pressure situations.
• Flexibility (Openness to Change) - Adaptable to change, open and flexible when faced with changing circumstances and ambiguity.
• ACAMS/CAMI or any other AML relevant certification will be preferred.

Interpersonal

• Good interpersonal skills; high ethical standard; collaborative; detail oriented, willing to learn and adapt.
• Ability to identify issues and knowing when to escalate.
• Methodical and attention to detail
• Ability to demonstrate decisiveness and sound judgement on a consistent basis.
• Collaborates within and across teams, involving the right people

• Critical thinking, Conflict Management
• Self-starter and ability to multi-task under pressure and meet various deadlines