Risk and Compliance Officer at Pergamon Investment Bank

The role is responsible for ensuring compliance with internal policies and regulatory requirements, coordinating with external parties such as regulatory bodies and auditors, verifying the implementation and communication of policies, and providing consulting support for new or changing processes.

Duties and Responsibilities

• General
• Prepare a checklist to ensure compliance with internal policies and procedures.
• Serve as a key point of coordination and support between the Company and external parties, including regulatory bodies, external auditors, the company secretary, and legal advisors.
• Verifying that all the Company’s regulatory policies and procedures have been documented, implemented and communicated.
• Perform consulting services for management through participation in projects designed to introduce new and/or changing processes, products. v. Any other duty as may be assigned by Supervisor or Management from time to time.
• AML roles
• Assist in overseeing Transaction Monitoring (TM) and provide findings to the supervisor for further action.
• Assist in managing the Watch List (WLM) and provide updates to the supervisor for further action.
• Conducting customer Due Diligence and Enhanced Due Diligence.
• Assist in identifying suspicious activities and reporting them to the supervisor for escalation to the regulator.
• Training
• Staff and Board Training on Anti-Money Laundering regulatory requirements.
• Conduct staff training and Board training; both introductory for new employees and ongoing training for all employees; to ensure an understanding of new and existing regulatory requirements.
• Risk Management
• Assist in planning, designing, and implementing the overall risk management process for the Company under the guidance of the supervisor.
• Updating the risk register
• Review of all Company’s regulatory policies and procedures subsequent communication and implementation.
• Reporting
• File appropriate compliance reports with regulatory authority and maintain documentation of compliance activities, such as complaints received or investigation outcomes.
• Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
• Assist in preparing monthly reports for management and submit them to the supervisor for review.

Requ irements

• Bachelor’s degree in Law, Finance or relevant field
• CISI Level 1 and 2 (Required)
• Certified Public Accountant (Final Level) (preferred)
• At least 3 years’ experience in the capital markets industry