Senior Financial Services Compliance Specialist

1 month ago


Cape Town, Western Cape, South Africa Rory Mackie & Associates Full time
Job Title: Senior Financial Services Compliance Specialist

We are seeking an experienced Investor and Client Onboarding Specialist to join our team at Rory Mackie & Associates. This role involves supporting the onboarding and KYC processes for investors in our Guernsey entities.

Key Responsibilities:

  • Assisting in the review and onboarding of new investors, ensuring compliance with relevant regulations and guidelines.
  • Checking of application forms and investor due diligence documentation, identifying potential risks and areas for improvement.
  • Liaising with investors to request additional documentation, fostering strong relationships and resolving any issues promptly.
  • Performing risk assessments of investors, analyzing data and making informed decisions.
  • Carrying out periodic reviews of investors, staying up-to-date with changing regulatory requirements and industry best practices.
  • Assisting with day-to-day ad-hoc requests from investors and clients, providing exceptional customer service and support.
  • Working on KYC remediation projects, driving efficiency and improving overall process quality.

Requirements:

  • Strong understanding of KYC regulations and investor due diligence practices, with experience in a similar role.
  • Familiarity with risk assessment protocols for investor onboarding, including identification, assessment, and mitigation of potential risks.
  • Proficiency with KYC documentation and regulatory compliance requirements, staying abreast of changes and updates.
  • Proficiency in Microsoft Office Suite (Excel, Word, Outlook), with experience in using KYC platforms or CRM systems an advantage.

The ideal candidate will have a solid background in financial services, excellent communication and interpersonal skills, and the ability to work effectively in a team environment. If you are a motivated and detail-oriented individual looking for a challenging role, please apply now.

Estimated Salary Range: £45,000 - £60,000 per annum, depending on experience and qualifications.



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