Assistant Manager / Manager – Regulatory & Compliance

Key Responsibilities

• Act as AMLCO / MLRO / DMLRO for a number of client funds / entities;
• Establish and maintain appropriate systems and controls (including documented policies and procedures) to ensure compliance with Cayman AML / CFT laws / regulations;
• Provide AML / CFT compliance oversight of the funds' activities (including the funds' investment activity as well as investor-related AML issues);
• Ensure regular audits / testing of the AML / CFT program;
• Advise the funds' board / general partner of AML / CFT compliance issues that need to be brought to its attention;
• Report periodically to the boards regarding the status of the funds' AML / CFT programs and controls;
• Maintain logs / records relating to specified scenarios such as subscription rejections, investor account freezes, politically exposed persons (PEPs) and other high risk investors;
• Stay abreast of current legislation and developing regulatory landscape to advise of all issues relating to operational and compliance matters relevant to client funds;
• Ensure existence and awareness of procedures for the reporting of suspicious activity;
• Provide training from time to time in the recognition and treatment of transactions carried out by, or on behalf of, any person who is, or appears to be, engaged in money laundering;
• Receive internal suspicious activity reports and file with the Financial Reporting Authority as needed;
• Act as point of contact with the Cayman Islands Monetary Authority;
• Interpret and respond to requests from regulatory authorities;
• Collaborate with colleagues from cross-functional teams to review new business;
• Contribute to Business Development activity including client briefings, internal product training, analysing trends and data;
• Assist in the development of internal operating procedures and policies applicable to Ogier Global and assist, as required, in recruiting, training and supervising necessary support staff within Ogier Global;
• Work with legal counsel in reviewing documents for client entities and liaise with all relevant service providers;
• Support the 'Ogier Best Way' ethos across the team through rigorous process analysis to drive alignment and consistency. Contribute towards the business as a whole to identify process improvements, improvements in policies and procedures and any other service innovation changes that would improve the client experience;
• Assist with ad hoc duties associated with the aforementioned.

Skills, Knowledge and Expertise