Compliance Officer - SEC Registered at Aldelia Limited

Responsibilities

• Monitor transactions according to Policy.
• Ensure transaction monitoring and enhanced due diligence on high risk and high profile accounts.
• Manage financial crime risks such as those posed by customers, products, counter-parties in transactions and the transactions themselves through transaction monitoring tools and escalating same where appropriate
• Advisory support service in respect of all Compliance related queries.
• Assist in developing a Group wide compliance culture.
• Facilitate in Compliance training
• Assisting with the update and improvement of the transaction filtering process
• Investigate and clear transactions identified against specified watch lists
• Provide optimum support from a holistic compliance perspective in relation to allocated subsidiaries
• Possesses a working knowledge of Bank Secrecy Regulations, Fair Credit Acts and Anti-Money Laundering Laws.
• Implements and manages new rules and regulations when they are passed by state or federal governing bodies.

Job Requirements

• B.Sc Degree in Finance, Accounting, Economics, Law and Business. MBA will be an added advantage
• Minimum 10 years’ experience in a similar role in a Financial Institution