Compliance Officer

2 days ago

Melbourne, Victoria, Australia beBeeInvestor Full time $90,000 - $120,000
AML & Investor Onboarding Specialist

This is an integral role within the organization and the processing team with a focus on Investor onboarding into client funds.

The AML & Investor Onboarding Specialist plays a critical role in identifying, assessing, and mitigating financial crime risks by conducting Enhanced Customer Due Diligence (ECDD) and Transaction Monitoring (TM).

  • Monitoring and conducting investigations of customers' accounts following AML/KYC, CRS/FATCA and DDO standards
  • Conduct AML/KYC reviews by gathering information from public sources, source tools and customers
  • Perform Customer Due Diligence (CDD), Enhanced Customer Due Diligence (ECDD), and Politically Exposed Persons (PEP), and sanction screening reviews
  • Monitor customer transactions and identify suspicious behaviour
  • Prepare and report Suspicious Matter Reports (SMRs)
  • Identify reportable accounts by determining the tax residency of account holders.
  • Apply due diligence procedures as outlined in Annex I of the FATCA Agreement and CRS rules
  • Maintain documentation and evidence supporting due diligence outcomes.

Key requirements include:

  • Due Diligence: Monitor and conduct investigations of customers' accounts, conduct AML/KYC reviews, perform CDD and ECDD reviews, monitor customer transactions, prepare and report SMRs, and identify reportable accounts.
  • Deliverables: Prompt escalation of issues / risks identified, provide SME support to both onshore and offshore teams, respond to information requests, manage work allocation, maintain accurate updates in metric trackers and workflow systems, collaborate with teams across risk, compliance, and technology, and support a culture of continuous improvement and operational excellence.
  • Accountabilities: Manage and complete deliverables as per agreed client SLAs, support ad-hoc projects and enhancements related to the AML/KYC and CRS/FATCA processes, assist with periodic reviews of procedures and checklists.

Requirements include a Bachelor's degree in business, finance, or related field, and AML/Compliance certifications are a plus. We encourage applications from people of all backgrounds to enable us to bring diverse perspectives to our thinking and conversation.

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