
Senior Compliance Professional
5 days ago
Job Title: Senior Compliance Professional
">Job Description:We are seeking a highly skilled and experienced Compliance professional to join our team. As a key member of our Client Due Diligence group, you will be responsible for ensuring that all client accounts adhere to our firm's Compliance Standards.
Key Responsibilities:
- Assist with the onboarding process of new corporate and institutional clients, including gathering documents and conducting due diligence reviews.
- Work closely with our Compliance department to ensure all client accounts meet our standards.
- Clear system-generated alerts or perform manual screening as necessary.
- Perform periodic review and due diligence exercises for client accounts.
- Review and process documentation submitted by clients for update requests.
- Conduct website audits to ensure fund documentation is up-to-date.
- Assist with client due diligence requests from our firm.
- Identify areas for process improvement and suggest enhancements.
- Lead the drafting, review, and approval process for Standard Operating Procedures (SOPs) for the Client Due Diligence team.
Client Services:
Key Responsibilities:
- Respond to queries from distributors and corporate clients.
- Liaise with Registrars on client matters.
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