About the Role
The Compliance Analyst reports to the Compliance Officer and will execute the firm’s compliance monitoring programme in order to ensure that the business is, overall, compliant with applicable laws, regulations, supervisory requirements, internal policies and procedures. Primary responsibilities include:
* Assist the CO with internal managerial reporting and managerial information collation, analysis and production
* Ensure that non-compliant clients and KYC parties are identified and reported to the CO as appropriate and that steps are taken to remediate outstanding KYC information in an efficient and timely manner
* Assist the CO in Maples Group-wide project support and implementation
* Assist the CO in reviewing Financial Crime Compliance policies and procedures to ensure that they comply with relevant jurisdictional AML, CTF and Sanctions requirements
* Assist the CO in collating information for, and drafting of the annual financial crime business-wide risk assessment
* Undertake monthly and quarterly reconciliation activity
* Serve as the department’s liaison for interaction with Group Internal Audit
* Identifying, assessing and addressing controls issues that require escalation to the CO
* Assist the CO in ensuring that employees have received appropriate AML induction and refresher training as appropriate to their job role
* Assist the CO in maintaining the list of clients and potential clients that have been subject to enhanced due diligence procedures and those that have been identified as politically exposed persons;
* Ensure enhanced due diligence policies and procedures are followed wherever higher-risk triggers are identified, escalating the matter to the CO as appropriate
* Dealing with any other compliance related queries as assigned
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