Similar Jobs
JOB SUMMARY:
The Compliance Manager, as a member of the Cayman Islands Compliance Team, is responsible for ensuring adequate compliance support in relation to Harmonic Cayman’s clients and specialized regulatory compliance support to all business lines (“Business”) of Harmonic Cayman. The role includes planning, implementing, and monitoring Harmonic Cayman’s risk and compliance framework including providing support in the performance of Anti-Money Laundering, Anti-Terrorism Financing and Anti-Proliferation Financing (“AML/ATF/APF”) procedures, coordinating compliance audit activities and communicating findings.
ESSENTIAL FUNCTIONS
Compliance Responsibilities
−
Assist in operating, developing, enhancing and communicating the objectives of Harmonic Cayman’s risk and compliance framework with an emphasis on risk mitigation and challenge, and assessment of business risk;
−
Review KYC and assist Business in the review of documents for low, medium and high risk clients/investors, including PEPs;
−
Review and advise Business on high risk activities such as third-party payments and bank account changes;
−
Oversight of the sanction screening process, including potential filings of Compliance Reporting Forms;
−
Prepare and deliver the quarterly Compliance Monitoring Program to Harmonic Cayman’s Board of Directors
−
Responsible for the annual preparation and filing of relevant AML surveys to Cayman Islands Monetary Authority (“CIMA”);
−
Promote a compliance culture within Harmonic Cayman;
−
Assess and document Harmonic Group Risk and Compliance objectives
