Senior Compliance Executive

Key Responsibilities

• Apply effective Customer Due Diligence measures on applicants for business/principals of applicants for business and parties connected to a transaction;
• Identify internal compliance practices and controls within the AXIS group;
• Escalate deficiencies noted in the internal compliance practices and controls within the company and the group;
• Identify and diagnose high risk areas where compliance input is required;
• Assist the manager in monitoring the day-to-day operation of the firm's anti-money laundering policies;
• Collaborate with other departments to direct compliance issues to appropriate existing channels for investigation and resolution;
• Monitor, and coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends;
• Carry out World Checks and internet searches including but not limited to sanction lists;
• Carrying out searches on applicants for business/principals of applicants for business, parties connected to a transaction, 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;
• Prepare risk committee minutes/resolutions for new clients;
• Prepare risk committee minutes/resolutions, matters arising, agenda and calendarize risk committee meeting;
• Ensuring that tasks to be completed by the Compliance Department following risk committee meeting are done;
• Schedule and prepare agenda and matters arising for the monthly Compliance Operational meeting;
• Ensuring that tasks to be completed by the Compliance Department following Compliance Operational meeting are done;
• 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 required information for you to be able to deliver your tasks;
• 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;
• Assist in providing responses to authorities;
• Assist in preparing reports or completing surveys;
• Maintaining proper and accurate record of KYC status of client files;

• Escalate KYC issues to management where appropriate;
• Flag to management any suspicious transactions and clients;
• Doing file reviews and ensuring the team are conducting the file reviews properly;
• Document filing, updating client information on relevant internal system;
• Completes RTG on a timely basis and efficiently;
• Prepare or review Annual Compliance Reports;
• Ensure subordinates are trained and coached;
• Assist in preparing training on Compliance matters and deliver training where required;
• Writing and/or assist in writing articles on Compliance matters;
• Carrying out offsite due diligence exercise and report findings to the Manager;
• Any other cognate duties that may from time to time be required which are appropriate to the role and business requirements.

Key Skills

• Holds a degree holder in Law & Management or any other relevant compliance related qualifications;
• At least 5 years of relevant working experience in the compliance field within the Global business sector
• 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.