Manager – Compliance Solutions

Waystone leads the way in specialist services for the asset management industry.

Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects investment structures and strategies worldwide.

With over 20 years’ experience and a comprehensive range of specialist services to its name, Waystone is now serving assets under management in excess of $2Tn. Waystone provides its clients with the guidance and tools to allow them to focus on managing their investment goals with confidence.

Summary: The Manager will be an integral part of the Global Compliance Solutions team’s success and will be responsible for delivering a quality service both internally and for external clients.

Essential Duties And Responsibilities

• Undertake the role of Compliance Officer/MLRO and Risk Officer and/or Company Secretary.
• Provide day to day support to clients and colleagues in executing compliance, and AML deliverables.
• Develop, initiate, maintain, and revise policies and procedures to ensure compliance with various regulatory requirements.
• Draft and/or execute a compliance monitoring and testing program and performing desk- based reviews to ensure compliance with regulatory and internal procedures.
• Commit to continuing professional development requirements, in accordance with internal and external standards.
• Assist and/or providing training on compliance, AML, and corporate governance.
• Provide outsourcing, authorization, and projects support to ADGM, DIFC, and onshore firms.
• Ensure that the regulatory returns and relevant notifications are submitted on a timely basis and acting as a point of contact with the regulator.
• Undertake client on-boarding/KYC.
• Be the first point of contact for internal suspicious activity reports and when submitting external suspicious activity reports to the financial intelligence unit and regulator.
• Manage client’s expectations.
• Attend and contribute to internal meetings.
• Work with senior staff in investigating and responding to raised compliance risk management issues and preparing routine correspondence.
• Assist in promoting the firm at various industry and promotional events or producing certain publications.
• Keep abreast of relevant laws and regulations.
• Commit to continued learning, remaining well-informed regarding internal standards, and business goals/knowledge sharing.
• Be responsible for maintaining timesheets daily and are expected to meet certain targets on a weekly basis, as set by management.
• Be responsible for maintaining, keeping up-to-date, and accurate client files.
• Contribute to the development and knowledge of Senior Associates and Associates.
• Assume the role and responsibilities of project manager as required.
  
  

Education

• An internationally recognized professional qualification.
  
  

Experience

• Must have a minimum of 4 years’ experience either in Compliance, AML or at the Regulators.
• Is expected to have an AML or Compliance certificate.
• Should be a well-versed candidate, from within the Compliance, AML, and Risk Management space, who can act in a vigorous and independent manner to develop both policy, and culture across the organization.
  
  

Key Competencies

• Integrity - foster professional and ethical judgement when engaging stakeholders, and instill mutual trust, and confidence.
• Strong attention to details and keen on delivering quality work.
• Strong interpersonal and communication skills (both written & verbal).
• Relationship Management - provide service excellence to internal and/or external clients.
• A team player, enthusiastic, and self-motivated.
• Analytical skills - collect and analyze information, problem-solve, and make decisions under minimal supervision.
• Commercial awareness and understanding of business environments.