5 Senior Compliance Analyst Jobs

The Intermediary Due Diligence (IDD) team is a crucial component of the International Intermediary Oversight (IIO) Department. The IDD teams work is integral to ensuring compliance and maintaining the integrity of the intermediary oversight process within the organization.

IDD is now looking for a team player with strong client service and analytical skills as well as capability to support/establish processes since new regulations and regulatory updates will continue to have an impact on the financial industry and its participants. A successful candidate will contribute to the development and implementation of a robust distribution & marketing oversight framework covering over 1000 intermediaries worldwide. The Consultant role will require work in international teams and with global clients #MID_SENIOR_LEVEL

Day-to-day management of the due diligence process of all types of intermediaries.

Coordinate and execute initial, ad-hoc, and periodic due diligence reviews for all types of intermediaries.

Communicate with clients over phone, email and video to gather documents and collect information about their activity, attend virtual on-site meetings, prepare agenda and minutes and follow up with clients on the outstanding actions.

Review internal and external delegates on a regular basis to ensure that intermediaries are adhering to the contractual arrangements. Building and fostering relationships with key business partners, often at senior level to develop and maintain mutual understanding of regulatory requirements.

Enhancing the operation of and contributing to the evolution of the distribution & marketing & AML oversight framework.

Contribute to/ run ad-hoc projects and initiatives, collaborating and engaging with various internal functions across various regions.

Support relationship with external providers for Due Diligence (UME) and KYC

Providing operational expertise and efficiencies to support the Intermediary Oversight and Sales teams across various regions.

Provide insights to the distribution team to improve the client experience and support sales or distribution initiatives.

Work closely with Compliance, Legal and AML teams during implementation or changes resulting from new regulation, existing CSSF rules or process improvements to understand impact to existing operations.

Oversee maintenance of policies and procedures to ensure all key documents are robust under scrutiny.

Asist in audits/ regulatory requests.

At least 5 years experience within the asset management/ investment funds industry, ideally with experience in KYC/AML

Relationship management, collaboration with experience of positive, challenging interactions with Senior stakeholders.

Candidate should have evidence of using effective planning and organizing skills in a previous role.

Outstanding written and verbal communication skills in English. Knowledge of other language would be an asset.

Proven to take initiative in a changing/growing environment.

Ability to engage at all levels, to develop and maintain relationships with internal and external stakeholders and work with them to navigate challenges and resolve issues.

Ability to formulate and implement solutions and respond to inquiries with minimal guidance, structure and supervision.

Excellent attention to detail and analytical skills - the ability to challenge and question in a constructive manner.