Compliance Executive

KEY RESPONSIBILITIES The below is a non-exhaustive list of the duties to be performed by the Compliance Executive.

• Apply effective Customer Due Diligence measures applicants for business/principals of applicants for business and parties connected to a transaction;
• Carry out World Checks and internet searches including but not limited to sanction lists;
• Carrying out searches on certifiers, persons providing reference letters and banks and calling back for confirmation where needed;
• Assemble research, compile data and prepare reports (where appropriate);
• Prepare checklist and list findings further to review of CDD;
• Prepare CDD tracker and update same as and when new documents/information are received;
• Attend to queries in relation to KYC/CDD;
• Review pack for onboarding of new clients;
• Conducting internal reviews/audits;
• Prepare risk committee minutes/resolutions for new clients;
• Follow internal and required procedures for KYC of clients;
• Provide a high standard of service with regards to compliance tasks;
• Liaise and Follow up with administrators in getting the required information;
• Liaise with the other internal departments and maintain good working relationships;
• Follow up on queries from relevant authorities (local and foreign) in relation to compliance issues;
• Maintaining proper and accurate record of KYC status of client files;
• Flag to  management any suspicious transactions and clients;
• Doing file reviews;
• Document filing, updating client information on relevant internal system;
• Completes RTG on a timely basis and efficiently;
• Any other cognate duties that may from time to time be required which are appropriate to the role and business requirements.

KEY SKILLS - The below is a non-exhaustive list of skills required for this position.

• Good analytical and problem solving skills;
• Excellent written and verbal communication skills - ability to draft effective communications (emails, letters, memos, instructions, reports) with good grammar, spelling & proofreading skills;
• Strong organizational and multi-tasking skills;
• Ability to work in a fast moving, demanding, high-pressure environment and deliver in a timely manner with regards to set deadlines;
• A high level of accuracy and attention to detail.
• Highly motivated with the ability to work well as an individual and from their own initiative as well as being able to work in a team environment;
• Ability to maintain high level of confidentiality;
• Computer Literate: Ms. Office Word, Excel, PowerPoint & Outlook.