QA Compliance Officer

Our client is seeking a highly qualified Quality Assurance Compliance Officer. This position is ideally suited to an individual who possesses a profound commitment to compliance and quality assurance, with particular expertise in Know-Your-Customer (KYC) protocols and anti-money laundering (AML) initiatives. The successful candidate will become part of a collegial and service-oriented team that values diverse perspectives and encourages the sharing of knowledge.

Key Responsibilities:
In the capacity of Quality Assurance Compliance Officer, you will assume a pivotal role in safeguarding the integrity and responsiveness of the branch’s compliance programme. Your daily undertakings will encompass comprehensive reviews of KYC procedures, adeptly managing escalations involving clients deemed higher risk, maintaining scrupulous records, and facilitating preparations for audits. You will work collaboratively across multiple functions to identify opportunities for improvement whilst also supporting broader compliance initiatives such as management reporting and regulatory submissions. Success in this post requires an unwavering attention to detail, refined communication abilities, and a readiness to share your expertise for the collective benefit of both the team and wider organization. By approaching challenges with discernment and demonstrating steadfast commitment to excellence, you will help cultivate an environment characterized by trustworthiness and perpetual enhancement within the compliance function.

• Undertake periodic evaluations of anti-money laundering and counter-financing of terrorism procedures to ensure strict adherence to internal controls, particularly within the Know-Your-Customer function.
• Address escalations pertaining to higher-risk files such as politically exposed persons by ensuring that enhanced due diligence measures are meticulously observed.
• Identify and report any matters that do not conform with AML/CFT and sanctions regulations, providing thorough documentation and well-considered recommendations for remediation.
• Review outcomes from audits, regulatory examinations, and self-assessments to ascertain that the scope of quality assurance activities remains comprehensive and effective.
• Ensure that all documentation associated with reviewed processes is complete, accurate, and maintained in accordance with prevailing regulatory standards.
• Assist the BSA/AML Officer during both internal and external audits by preparing pertinent documentation and verifying materials for accuracy.
• Collaborate closely with compliance colleagues to address any deficiencies or findings resulting from internal or external reviews.
• Offer thoughtful recommendations for process enhancements based on careful analysis of current practices and established industry standards.
• Contribute to management information system reporting by gathering relevant data and preparing reports as required by senior leadership.
• Support swap dealer and broker dealer Chief Compliance Officers in fulfilling regulatory reporting obligations and other related responsibilities as necessary.

Key Requirements:
To excel as a Quality Assurance Compliance Officer, you will bring demonstrable experience in financial crimes compliance coupled with an aptitude for fostering positive relationships across teams. Your background should reflect substantive involvement in KYC processes, audit support activities, and regulatory reporting within a reputable financial institution. The ideal candidate will exhibit outstanding interpersonal skills—enabling clear communication at all organizational levels—and possess an analytical disposition conducive to interpreting intricate information accurately. A dedication to ongoing learning combined with meticulous attention to detail will ensure adaptability amidst evolving requirements whilst upholding exemplary standards throughout your work. Your ability to propose pragmatic solutions alongside insightful feedback will be instrumental in advancing improvements across the compliance function.

• A minimum of five years’ experience in financial crimes compliance within a banking or financial services context is essential for this appointment.
• Demonstrated capacity to provide constructive feedback and assess quality against established standards is required.
• Exemplary written and verbal communication skills are indispensable for effective collaboration across teams.
• Highly developed analytical abilities are crucial for reviewing complex documentation and discerning potential risks or deficiencies.
• Proficiency in English, both written and spoken, is requisite for daily interactions with colleagues and stakeholders.
• A Bachelor’s degree is mandatory; additional certifications such as CAMS or equivalent are regarded favorably but not obligatory.
• Experience in ancillary areas of compliance beyond AML/KYC is considered advantageous though not essential.
• Familiarity with data analysis methodologies is desirable for supporting management information system reporting tasks.

What sets this company apart:

• This institution distinguishes itself through its unwavering commitment to cultivating an inclusive environment wherein every team member’s contributions are acknowledged and esteemed.

What's next:
If interested in this position, please contact Robert Moseman at +1 332 205 3879 or Robert.Moseman@robertwalters.com