Assistant Director, Enforcement

3 weeks ago

Hamilton, United Kingdom Bermuda Monetary Authority Full time

**Description**:
**Assistant Director - Enforcement**

**Legal Services and Enforcement**

enhancing and promoting the intelligence capability of the Authority and enhancing and supporting enforcement policies and procedures which protect and enhance the reputation of Bermuda.

This is a key role for the Authority; the incumbent will be responsible for but not limited to:

- Conducting appropriate research to identify matters relevant to the Authority’s regulatory responsibilities, especially attempts by unlicensed/unregistered entities to wrongfully assert registration

with the Authority. Ensuring that activities aimed at policing the perimeter are aligned with new or amended legislative changes, preparing reports and recommendations for senior management

and implementing directions as required
- Assisting the Authority’s Money Laundering Reporting Officer in receiving and reviewing internal suspicious activity reports and the filing of suspicious activity reports with the Financial Intelligence Agency
- Investigating cases of potential regulatory breach and misconduct by utilising financial analysis techniques, interviewing senior members of management, taking witness statements and affidavits

and consistently promoting the purpose, use and advantages of intelligence within the Authority
- Managing the intelligence/resource gathering, including conducting enhanced vetting of individuals/entities and the maintenance and continual development of the Authority’s intelligence databases to improve the information available, not only for the purposes of enforcement investigations but also as a core service to the Authority as a whole. Actively fostering and promoting cross departmental cooperation with other internal departments to ensure the exchange of information/intelligence is done in a timely and effective manner
- Conducting an in-depth analysis of intelligence received from all available resources (public/non-public), with details held by the Authority to ensure that there are not any regulated individuals or entities that are under investigation in other jurisdictions
- Receiving and processing Court issued Production Orders, Notices for the production of information and other requests for assistance received from domestic agencies, including the Bermuda Police Service and the Financial Intelligence Agency, as governed by law. Participating in general enforcement activities, including investigations and requests for regulatory assistance as approved by management
- Planning for, participating in and demonstrating increased mastery of various tasks related to assigned cases by the evaluation of moderate-to-highly complex information and variable issues with substantial impact, giving weight to various alternatives and balancing potentially conflicting situations using

multiple sources of information
- Conducting witness interviews, taking statements and documenting all case-related activity, including people contacted, documents and data reviewed, etc. and developing enforcement cases
- Participating in the review and updating of the Authority’s Statement of Principles and Use of Enforcement powers against new requirements as necessary
- Providing analytical support concerning domestic and international assessments being conducted of the Authority or to which the Authority is involved
- Participating in local and international meetings, conferences and seminars with other regulatory bodies, governmental agencies and the financial services industry
- Performing other related work and special projects as assigned by management in accordance with competencies normally associated with the post

This position requires a proven technical and business background. Therefore, the incumbent should have the following:

- Master’s Degree or equivalent qualification in a financial or accounting discipline from a recognised institution or professional body; and/or professional certification(s) with relevant experience. A professional designation in Anti Money Laundering (AML) and/or forensic accounting is an asset
- Minimum of ten (10) years post-graduate experience in the financial services industry, of which at least five (5) years should be at a senior level in the financial services business and working experience with a financial regulatory body in the compliance/AML, investigations or auditing field
- Significant operational experience in conducting financial investigations on behalf of a regulator or law enforcement agency. Extensive knowledge of financial services and products in the area of insurance, trust business, corporate administration business, investment business, banking, digital asset business and digital asset offerings
- Working knowledge of the international standards on the prevention of money laundering and combating terrorist financing and other international regulatory standards
- Exceptional written and oral communication skills and strong attention to detail and accuracy

Ber

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