Job Description

Location: Remotely in South Africa
Hours: ( 8am - 5pm UK time )
Salary: R28 000 per month (Depending on experience)
The main purpose of this role is to provide support to the Senior Compliance Officer ensuring that the firm adheres to its regulatory and legal requirements. In addition to this is to work in collaboration with the overall Operations Team to ensure timely settlement of trades and subsequent payment instructions. Within this role is the requirement to enhance
external client service and communication. As part of the Operations Team other duties that must be managed to enable the smooth running of the overall operational function.
Responsibilities:

• Assist the Senior Compliance Officer in ensuring the firm's compliance framework and regulatory obligations
• Client onboarding, performing CDD & EDD checks and SoF & SoW checks.
• Transaction monitoring on a live and retrospective basis, escalating concerns or suspicions in line with internal processes.
• Manage internal screening, reviewing matches on PEP, adverse media, sanctions lists.
• Liaise with prospects and clients to obtain the necessary KYC documentation.
• Perform periodic reviews on existing clients to ensure KYC is up-to-date.
• Be a point of contact within the firm on compliance and onboarding-related matters.
• Onboarding of affiliates and referring partners, conducting relevant checks.
• Assist counterparty and partner banks by coordinating and responding to Requests for Information (RFIs) as part of their ongoing monitoring processes.
• Manage and process updates to existing client information, ensuring all changes are accurately reflected across internal systems in accordance with operational procedures and compliance requirements.

Other Responsibilities:

• Make recommendations to streamline compliance processes and enhance controls.
• Prepare reports for senior management when requested that relate to compliance activities.
• Assist and lead on various compliance-related projects that arise within the business.
• Cover duties during times of leave as directed from time to time.
• Any other duties which are of a similar nature to the above as directed by the business from time to time as the business continues to develop.

Requirements

• Experience ensuring firm's compliance framework and regulatory obligations.
• Experience with client onboarding, performing CDD & EDD checks and SoF & SoW checks.
• Experience with transaction monitoring on a live and retrospective basis, escalating concerns or suspicions in line with internal processes.
• Experience managing internal screening, reviewing matches on PEP, adverse media, sanctions lists.
• Experience liaising with prospects and clients to obtain the necessary KYC documentation.
• Experience performing periodic reviews on existing clients to ensure KYC is up-to-date.
• Experience onboarding of affiliates and referring partners, conducting relevant checks.
• Experience with counterparty and partner banks by coordinating and responding to Requests for Information (RFIs) as part of their ongoing monitoring processes.
• Experience managing and process updates to existing client information, ensuring all changes are accurately reflected across internal systems in accordance with operational procedures and compliance requirements.

Skills Required