Compliance Specialist

 Wilmington, DE

Monday to Friday 8:00 am to 5:00 pm

Hybrid 

 

As a Compliance Specialist, you will be responsible for conducting client file reviews on legal entities and natural persons to confirm the following are available and up to date

 

Some of the things you will be doing:

Client Due Diligence (CDD) and Know Your Customer/ Client (KYC) documentation (for natural persons: ID, residence proof, Source of wealth/funds & for legal entities: corporate records like Registers of directors/Members, constitutional documents like M& A, Incorporation certificates etc.) and raise action points were missing or inadequate Undertake AML/KYC analysis on the client files viz screening of entities and related parties & confirming, discounting, or escalating findings Based on above events undertake risk assessments and application of SDD, CDD and EDD as relevant. Follow up with local business teams and clients on missing requirements to facilitate collection and updating of system records

What technical skills, experience, and qualifications do you need?

Minimum of 2 years of compliance experience in industry and/or professional practice for associate (for Quality Checker: ideally 3 to 5 years of the same experience detailed) Minimum educational requirement - Two year degree  Understanding of AML, KYC, Due diligence processes and “ideally” corporate regulatory obligations both locally and globally Exposure and experience in screening tools such as World Check, Google Checks, DueDil, Dow Jones Risk & Compliance, Encompass, Sanction Scanner, Kyckr Proficiency in MS Office/ Excel

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