Vintage Bullion
Roles and Responsibilities
Leading the implementation of new compliance procedures or projects
Work with the team on resolving KYC/AML escalated queries including complex queries such as onboarding corporate or business accounts
Frame risk based counterparty KYC onboarding and processes
Update and maintain records with local GoAML regulations and proper filling of reports within due date
Maintain and update all Trading related legal agreements such as ISDAs, Trading Agreements, Vault Storage agreements, counterparty KYCs etc
Ensure timely reporting Viz. UBO Reporting/ ESR Reporting/DMCC
Create formats for regular legal documents NDAs
Screening payments and creation of reports for filing STRS and manage the transaction monitoring process within the timezone
Be a centre point of contact for escalated client queries from both the clients and the business units
Stay updated with Non-Physical Trading regulations related to ERISA, Swaps, ISDAs, OTC and Exchange regulations
Proven Experience & Qualifications
Bachelor’s degree in finance, business, law or a relevant field
3+ years of compliance experience (including at least 1+ years in managing a compliance team)
Experience in coaching and leading others
Trading or financial services industry knowledge and experience
Previous experience in process, procedures and training delivery