AML Regulatory Compliance & Governance
- Conduct gap analyses and impact assessments based on new or revised AML guidelines and internal requirements.
- Review and update business unit policies and procedures to ensure regulatory compliance.
- Provide advisory support on regulatory interpretations in collaboration with Legal.
AML Framework & Risk Management
- Maintain and enhance the AML framework to ensure compliance with AMLATFPUAA and other regulations.
- Evaluate suspicious transactions and escalate STRs (Suspicious Transaction Reports) when necessary.
- Initiate and monitor Enhanced Customer Due Diligence (ECDD) processes, ensuring SLA adherence.
- Lead the annual review of transaction monitoring criteria and report updates to the AML Committee.
AML Transaction Risk Monitoring
- Review high-risk account cases and onboarding documentation to ensure proper KYC procedures.
- Oversee transaction monitoring activities and report status to the AML Committee.
- Stay updated on regulatory developments and ensure monitoring processes remain robust and effective.
Internal Controls & Testing
- Maintain the compliance matrix and conduct departmental self-testing.
- Review and verify compliance monitoring activities submitted by business units.
Documentation & Regulatory Submissions
- Support the review and submission of fund-related documents (e.g., interim/annual reports, offering documents).
- Ensure compliance in promotional materials and regulatory filings (monthly, quarterly, etc.).
Reporting & Advisory
- Prepare compliance reports for Group and Committees.
- Respond to regulatory and law enforcement requests and complete due diligence questionnaires.
Projects & Strategic Initiatives
- Lead or participate in compliance-related projects and high-level initiatives as assigned.