COMPLIANCE OFFICER

We are a leading Caribbean investment firm focused on credit, mezzanine, infrastructure and real estate investments. We are seeking to recruit a Compliance Officer with the relevant knowledge and experience to support our various reporting functions.

CORE FUNCTIONS-Corporate Secretarial

• Ensuring policies are kept current, are approved, and that company members are aware of their implications, e.g. regulatory (POCA), Corporate Governance;
• Ensuring that local and overseas companies are in compliance with all applicable rules and by-laws enacted by each regulatory body;
• Ensuring Tax Compliance Certificates and Letters of Good Standing are current for all assigned companies;
• Preparing and filing of annual and statutory returns to varying regulatory bodies and government agencies;
• Ensuring that all notices are published in relation to financial statements submitted to regulators;
• Ensuring that fees due to regulatory bodies are remitted on a timely basis in all jurisdictions where relevant companies operate;
• Maintaining current awareness about company law in all jurisdictions where relevant companies operate and recommending changes to processes accordingly;
• Liaising with Registrars in different countries for all publicly listed companies;
• Attending Board and other committee meetings and preparing minutes; 
• Convening and servicing Annual General Meetings (producing agendas, taking minutes; conveying decisions etc.);
• Stamping of documents at the Stamp Office;
• Keeping staff members informed and up to date of changes that would affect the companies under the provisions of The Companies Act;
• Handling applications with banks, regulators and government authorities;
• Providing support to committees and working parties such as the Board of Directors etc.
• Administering share issues;
• Overseeing the updates and approval of AML and Corporate Governance Policies on an annual basis (Suggest Improvements and compile for presentation to the Board of Directors for Approval);
• Guiding the process of KYC, anti-money laundering and counter terrorism procedures. Providing requisite updates to the team based on AML guidelines received from the FSC;
• Developing, maintaining and executing an effective compliance program designed to ensure the firm’s supervision and controls meet regulatory requirements and industry best practices and to effectively manage and mitigate risk;
• Developing and leading an effective AML/ATF/CFT Program, including the design and implementation of policies, procedures, training, transaction monitoring, investigation management and risk assessment;
• Providing advice and guidance to risk, and business segments in the development of new products, review of business processes and documentation of procedures;
• Completing annual Economic Substance filings for companies across the relevant jurisdictions.

RESPONSIBILITIES

• Ability to interact and co-operate with all company employees;
• Build trust, value others, communicate effectively, drive execution, foster innovation, focus on the customer, collaborate with others, solve problems creatively and demonstrate high integrity;
• Maintain professional internal and external relationships that meet company core values;
• Assist with reviewing and verifying accuracy of data;
• Assist with special projects as needed.

MINIMUM REQUIRED QUALIFICATION AND EXPERIENCE

• Bachelor's Degree in Management, Law or Risk Management

• Certified AML Professional and/or CAMS Certification will be an advantage

• At least two (2) years of supervisory or lead experience

KEY COMPETENCIES

• Thorough working knowledge of the Companies Acts, Securities Acts, Stock Exchange Rules and Anti-Money Laundering Acts and of applicable requirements of the security regulators throughout the region;
• Ability to interpret complex regulatory requirements and create appropriate policies, procedures and training materials;
• Experience building and developing compliance programs and policies;
• Strong understanding and knowledge of industry best practices and regulatory expectations for overall compliance and risk management of a financial services firm;
• Highly motivated. solid strategic thinker and problem solver;
• Executive level communication skills-internal and external;
• Detail-oriented, accurate, organized, able to set priorities;
• Working knowledge of Microsoft applications;
• Team player with excellent interpersonal, organizational and analytical skills;
• Must possess good time management skills in order to meet strict deadlines;
• The incumbent must also be willing to work flexible hours and demonstrate a high level of professionalism and commitment.

We thank all applicants for their interest in the position; however, only shortlisted candidates will be contacted