Senior Associate, Compliance Ops

Location

India


Senior Associate

Conduct client file reviews to confirm that all Customer/ Client Due Diligence (CDD) and Know Your Customer/ Client (KYC) documentation is in hand and up to date, identifying where gaps exist and remediation is required; ensuring that Intertrust is in compliance with regulatory standards. Form part of the vital chain of the on-boarding of new clients with focus on the CDD required under Jersey Law and the integrity of the data stored on our systems to ensure that compliance with regulations is effective and appropriately maintained. Assist more junior staff in their understanding of and ability to undertake this work, developing them to better service our clients.

You must have:

  • Minimum of 4 years of compliance experience in industry and/or professional practice
  • Demonstrable knowledge of various types of corporate, trust and partnership / fund structures and understanding the differences between each.
  • Understanding of corporate governance, relevant local regulations and best practices
  • Understanding of KYC due diligence and corporate regulatory obligations, locally and globally
  • 3 year degree in Administration/Commerce/Law or any related field
  • Knowledge and practical reporting of FATCA, CRS (Automatic Exchange of Information - AEOI) Registration and Reporting
  • Proficiency in MS Office/ Excel and database management
  • An ability to work well in a team environment, independent, meticulous, pro-active, attention to detail, self-motivated and ability to adapt to new challenges
  • Communication Skills: effectively conveys information and expresses thoughts and facts coherently
  • Fluent spoken English and strong written English
  • Open to travel and passport ready

Job Description:

  • Carry out reviews on the assigned portfolio of companies, trusts, foundations and partnerships and to escalate issues and opportunities identified
  • Record missing requirements as action points within internal systems, following standard input protocol
  • Liaise with local business teams informing them of missing requirements to facilitate collection, circulation among relevant teams, and storage within appropriate systems/applications
  • Monitoring of reporting to ensure adequate progress being made to close action points, escalating to local teams according to specific escalation cycle
  • Assist with the collection of know your client (“KYC”) information, including obtaining satisfactory due diligence on directors, shareholders and partners in cooperation with the Jersey business
  • Collate data for AEOI reporting for a cross section of jurisdictional reporting requirements
  • Ensure we hold and maintain up to date AEOI information to facilitate reporting
  • Review work carried out by the associates in the team, ensuring accuracy, efficiency and legally compliant deliverables are being sent back to the Jersey client team.
  • Perform client administration duties such as preparing banking payments, maintaining databases of statutory or regulatory data, identifying gaps in KYC data required, completing reviews of existing KYC data on the systems.

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