Compliance Officer

6 days ago

Leeds, Leeds, United Kingdom Maples Group - Legal Services Full time

About the Role

The Maples Group - Legal Services is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring the company's compliance with regulatory requirements and industry standards.

Key Responsibilities

  • Conduct due diligence on new business matters, including reviewing KYC documentation and identifying potential risks.
  • Monitor and respond to KYC related queries from lawyers, clients, and the Global Compliance Team.
  • Establish strong communication lines with lawyers and relevant staff to ensure efficient and professional handling of KYC requests.
  • Review applicants for business and new clients to evaluate KYC requirements and identify high-risk areas.
  • Obtain and verify KYC documentation for applicants and clients.
  • Ensure that Enhanced Due Diligence procedures are followed for high-risk triggers and escalate matters to the SCA or Compliance Office as required.
  • Enter applicants, clients, and related compliance parties into InterAction and the internal KYC database as required.
  • Assist with InterAction administrative duties as needed.
  • Review changes to client profiles that may require refreshed KYC and/or updates to the system.
  • Ensure that KYC documentation is approved and stored in accordance with internal policies.
  • Identify and report non-compliant clients to the SCA or Compliance Office and take steps to remediate outstanding KYC information in a timely manner.
  • Conduct KYC and refresher due diligence searches as necessary and report findings to the SCA or Compliance Office.
  • Comply with non-compliant/closed file procedures.
  • Assist the SCA and Compliance Office in investigating Bridger alerts and negative news findings and determine whether any matches could be considered positive results.

Requirements

  • A university degree in Business, Accounting, or a related field.
  • A recognized qualification in a compliance-related field or working towards it.
  • At least 3 years of relevant work experience in a similar role.
  • Previous experience in the financial services industry is highly desirable.
  • Knowledge of Cayman Islands AML legislation.
  • Experience with CRM systems.
  • Highly proficient in MS Office Suite.
  • Ability to work with all levels of senior management and staff.
  • High level of professionalism with the ability to deal with sensitive and confidential matters.
  • Willingness to work in a team and be a team player.
  • Excellent organizational, prioritization, and communication skills.

Benefits and Rewards

The Maples Group - Legal Services prioritizes employee health and wellbeing. Depending on your location, we offer a range of benefits, including:

  • Comprehensive health coverage (medical, dental, and optical).
  • Competitive vacation packages.
  • Educational assistance and professional development programs.
  • Savings or pension plan.
  • Life insurance.
  • Travel insurance.
  • Global mental wellness program.
  • Sports clubs and social events.

About the Maples Group - Legal Services

The Maples Group - Legal Services has grown from modest beginnings into one of the world's preeminent professional services firms, offering specialized fiduciary, fund administration, regulatory and compliance, entity formation and management, and legal services on the laws of the British Virgin Islands, the Cayman Islands, Ireland, Jersey, and Luxembourg.

You can learn more about the Maples Group - Legal Services on our corporate website. Experience our culture and our people on our Careers Page or on LinkedIn.

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