Job Summary
The Compliance Senior Associate is instrumental in enhancing the firm’s regulatory compliance efforts by overseeing e-communication monitoring, conducting due diligence, and performing risk assessments. This position also involves the upkeep of the compliance manual, aiding in preparations for regulatory inquiries, and ensuring proper documentation of committee governance.
Responsibilities
- Manage e-communication surveillance to ensure compliance with regulations.
- Conduct due diligence and risk assessments relevant to compliance protocols.
- Assist in the maintenance and updates of the compliance manual.
- Prepare documentation and resources for regulatory inquiries.
- Document and manage governance related to the compliance committee.
Qualifications
- Minimum of 5 years of comprehensive experience in KYC, AML, or compliance operations, particularly within the financial services or fintech sectors.
- In-depth knowledge of AML/BSA regulatory requirements and OFAC sanctions compliance is crucial.
