• Manage and supervise internal control systems including risk mitigation procedures as part of the Compliance day-to-day function;
• Manage and supervise a team of Compliance Officers from a task allocation, supervision and quality assurance perspective;
• Manage escalation of material regulatory and compliance issues and queries affecting the business;
• Perform required regulatory functions of Compliance for Andaria Financial Services Limited & Andaria Financial Services UK Limited;
• Assist in the planning of assessments of control areas and the process of documenting the process;
• Be a point of escalation for AML related reporting and conduct the necessary investigation for review by the MLRO;
• Evaluate the efficiency of internal controls as part of periodic Compliance assessments;
• Identify risks from a non-conformity perspective on the operational and regulatory side;
• Identify Compliance issues and necessary training requirements;
• Undergo periodical reviews of internal policies and procedures;
• Identify areas of improvement within the Compliance Team and propose resolutions to the CCO;
• Keep abreast of regulatory amendments and updates;
• Assist with regulatory reporting in a timely manner;
• Provide relevant reporting to the CCO & MLRO on compliance operations;
• Be an escalation point for the Compliance Officers within the team;
• Provide the necessary support to the CCO & MLRO;
• Liaison with the Company Secretary;
• Manager responsible for the Compliance Team’s daily Screening and Transaction Monitoring activities;
• Main contact point within Compliance for the Functions tasks pertaining to Client Onboarding and Customer Due Diligence activities;
• Promote and encourage a culture of compliance and ethics throughout business communicating these values to colleagues.
