Legal and Compliance Officer

• Analyse and review Non-Disclosure Agreements (NDAs) and brokerage transaction agreements.
• Provide advice on contractual issues, legal matters, and potential risks related to consultancy and brokerage.
• Manage and oversee all compliance programs.
• Investigate and address compliance violations.
• Monitor regulatory changes, relevant laws, and regulations across the business; prepare and present reports for management.
• Ensure adherence to complaint handling procedures; maintain records of complaints and actions taken.
• Conduct continuous training and assessments for team members to ensure compliance awareness.
• Perform general administrative tasks, including file creation and maintenance of ongoing administrative projects.
• Implement and manage Customer Due Diligence (CDD) onboarding processes, including sanctions checks and verifications according to established procedures.
• Provide CDD and AML support to all levels of stakeholders and external clients.
• Review brokerage agreements and transactions in the context of CDD and AML compliance.
• Assist with ongoing monitoring of clients.
• Maintain and manage workflow in collaboration with the legal department.
• Ensure achievement of weekly targets in a fast-paced, high-volume environment.
• Maintain up-to-date knowledge of relevant CDD and AML regulations.
• Contribute to the continuous improvement of the CDD function.

Skills and Qualifications

Qualifications:

• Legal Degree or a minimum of 6 years of experience in a reputable company providing dedicated CDD and AML support.
• ICA certificate in AML, Financial Crime, or Compliance (Preferred but not mandatory).