Operations & Compliance Analyst

The Operations and Compliance Analyst will be part of the Operations team and will report to the Operations Officer. The Analyst will provide key support to ensure compliance with laws, CIMA regulations, and industry standards. The Analyst will work closely with the Operations Officer to identify and mitigate risks within the organization and ensure adherence to best practices. The Analyst will provide day to day project, administrative and logistical back-office support.

Responsibilities

• Provides day-to-day support to the operations team, including but not limited to communicating and assisting with project-office and admin requests.
• Provides client onboarding support, including drafting risk assessments, onboarding forms, and reviewing KYC / AML documents to ensure all client documentation is completed in accordance with CIMA and internal policies.
• Maintains client onboarding checklists, conducts initial screenings, and ongoing monitoring activities.
• Conducts internal audits and reviews to check for compliance with regulations, identify gaps, and propose corrective actions.
• Oversees adherence to CIMA regulations, and Uniting Capital policies and procedures.
• Proactively identifies issues or potential compliance risks. Develops strategies and solutions to address those risks, communicating, when appropriate, with the Operations Officer.
• Maintains compliance logs up to date and ensures proper documentation.
• Collaborates with cross-functional teams to streamline operations and compliance efforts.
• Supports annual audits.
• Participates in team meetings and other relevant Operations and Compliance meetings. Takes meeting minutes and ensures smooth communication of action items.
• Maintains good relationships with third party service providers, supports subcontracting processes, and track invoice payments.
• Performs other duties as required.

Seniority level

Entry level

Employment type

Full-time

Job function

Legal

Industries

Investment Management

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