COMPLIANCE ASSISTANT

• Assist in monitoring compliance with applicable legislation and internal requirements
• Assist in promoting, implementing and maintaining compliance standards and procedures that enable employees to act in a compliant manner
• Help identify opportunities to improve or enhance business processes/procedures
• Assist in the proper establishment and maintenance of procedures on the identification, reporting and resolution of compliance breaches and other regulatory issues
• Help identify non-compliances as to identify potential risks
• Report on compliance matters to the Compliance Manager and assist the Compliance Manager in reporting on such matters to the External Compliance Officer and Board of Directors periodically
• Assist in reviewing compliance policies
• Identify employee training needs through monitoring and other methods
• Train and assist employees to improve their regulatory knowledge and enhance their compliant behaviour
• Assist the Compliance Manager in ensuring that an effective system exists for communicating the compliance standards and guidance in the compliance risk areas (including new legislative changes and the impact thereof on the business), taking digital training and other relevant communications mediums into consideration
• Assist with implementing and upkeeping training schedules and records, where training include CPD training, internal and external training
• Conduct paperwork training for staff if requested by the Compliance Manager
• Assist Representatives with Supervision requirements and conduct monthly meetings to ensure supervision plans are followed and supervision logs are up to date
• Assist with internal compliance audits for all new client cases reviewing dedicated compliance requirements including AML/KYC/FICA/Internal and External Paperwork within a fast and effective time frame
• Report the outcomes of these cases to all relevant parties
• Conduct Sanction Screening and the recordkeeping thereof on all new client cases
• Assist with internal compliance paperwork changes when required
• Assist with tasks on the Compliance Dashboard
• Assist with upkeeping of the Competency register, New Business register, Complaints register and Conflict of Interest register
• Attend all quarterly meetings with our External Compliance Officer
• Assist with drafting reports in respect of compliance monitoring

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