Regulatory Compliance Specialist

Job Description

Review and analyze reviews for compliance with sanctions laws and regulations. Identify transactions involving sanctioned countries, entities, or individuals. Determine whether transactions are prohibited. Ensure that all required documentation is in order. Identify and escalate potential sanctions reviews to legal for further investigation and resolution. Clear transactions following established procedures and mismatch guidance, using experience and judgment of the review, the identified party, and the RP information. Conduct external research to find reliable sources of information that assist in disproving the match, and make recommendations on potential match disposition. Provide clear notes, including thought process as to why a review is being cleared or escalated to legal for further review. Maintain TAT & Quality SLA and manage day-to-day operations in collaboration with a global team. Understand client’s and organizational OKRs and support in meeting the expected results. Identify process challenges and contribute to process improvement projects. Be people-focused and ensure high people engagement. Flexible to 18 / 7 shift with rotational week off.

Responsibilities

• Review and analyze reviews for compliance with sanctions laws and regulations.
• Identify transactions that involve sanctioned countries, entities or individuals.
• Determine whether transactions are prohibited.
• Ensure that all required documentation is in order.
• Identify and escalate potential sanctions reviews to legal for further investigation and resolution.
• Clear transactions following established procedures and mismatch guidance, using experience and common knowledge / judgment of the review, the identified party, and the RP information.
• Able to conduct external research to find reliable sources of information that assist in disproving the match, and make recommendations on potential match disposition.
• Provide clear notes, including thought process as to why a review is being cleared, or escalated to legal for further review.
• Maintain turnaround time (TAT) & Quality Service Level Agreement (SLA) and manage day-to-day operations in collaboration with a global team.
• Understand client’s and organizational OKRs and support in meeting the expected results.
• Identify process challenges and contribute to process improvement projects.
• Be people-focused and ensure high people engagement.
• Flexible to 18 / 7 shift with rotational week off.

Qualifications

Seniority level

Employment type

Job function

Industries

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