Compliance Advisor This role's main objective is to review Clients' KYC
documents before opening clients/matters, ensuring KYC records are up to date
for existing clients, carrying out ongoing due diligence and ensuring
adherence with KYC procedures.
Duties & Responsibilities
* Managing the update of the Compliance & Quality Intranet pages and training interns on the update process.
* Managing the update of client publicity restrictions in Elite and training interns on the update process.
* Understanding client structures and advise on KYC/CDD requirements, carrying out risk assessments and making recommendations where required.
* Reviewing Thomson Reuters World Check One search results to identify possible and positive matches and determining risk rating pursuant to Al Tamimi's policies and procedures.
* Carrying out google searches on all potential clients and related parties.
* Escalating potential matches to the Compliance Manager (KYC) or Head of AML.
* Timely completion of all client-level due diligence requirements at the onset and renewal of client relationships. As part of this process, provide feedback on Group policies and procedures pertaining to KYC/AML, the required legal documents and process to on-board a client, and that for maintaining client relationships in active status on an ongoing basis.
* Following-up on pending KYC for dedicated offices/departments, as per list circulated by Head of AML, and ensuring appropriate due diligence is requested and obtained.
* Discussing and escalating to the Compliance Manager (KYC) complex issues surrounding client types and structures, legal services and other AML risk-related issues.
* Approving the opening of clients and matters on Elite where the client and legal service are considered standard risk (with focus being on low risk departments/offices).
* Contributing, as required, to projects aimed at improving compliance knowledge across the firm.
* Keeping abreast of developments pertaining to Sanctions, adverse media on clients, other regulatory developments.
* Actively contributing to the Compliance & Quality Newsletter.
* Managing the vendor's assessment process
* Coordinating meetings and bookings as may be requested by the Head of AML from time to time.
Requirements & Personal Attributes
* Minimum of 2 years' experience in a similar role within a law firm or financial institution
* Strong work ethic and sense of ownership and responsibility
* Drives results through teamwork, people, communication and influence
* Comfortable with change, ambiguity, debate, conflict and informed risk taking
* Willingness to make decisions, while ensuring buy in from stakeholders
* Desire for continuous professional development
* Self-motivated
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