Risk and Compliance Officer
Core
Investigate Introducer Management referrals, manage AML/CTF escalations, and monitor compliance training to support risk frameworks and regulatory outcomes.
Role type
Risk and Compliance Officer
Builds
Risk frameworks, compliance reports, and regulatory submissions
Domain
Asset finance / Financial crime compliance
Deliverable
dashboards & analysis
Required skills
AML/KYC regulations, transaction monitoring, incident management, breach reporting, regulatory engagement, data analysis, stakeholder management
Preferred skills
Asset finance experience, PEP/sanctions screening, Enhanced Customer Due Diligence, Suspicious Matter Reports (SMRs)
Technologies
Protech (InfoRM) system, SALT training Platform
Responsibilities
Investigate Introducer Management referrals and form data-driven recommendations; Review AML/CTF escalations and conduct KYC verification; Monitor compliance training completion rates and prepare monthly reports; Investigate transaction monitoring alerts and prepare Suspicious Matter Reports; Provide guidance on AML/CTF and Financial Crime matters.
Seniority
Mid-level, hands-on IC