Compliance Officer Job at Rise Vest, Schenectady, NY

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  • Rise Vest
  • Schenectady, NY

Job Description

Job Description

Job Description

Salary:

About Rise

Rise is a digital wealth manager that offers users access to a portfolio of dollar investments managed by experts. We are a mission-driven company whose goal is to connect our users to wealth-creating opportunities across the world and help them build wealth through assets that appreciate.

Job Description and profile.

As a Compliance Officer at Risevest, you will be responsible for leading and driving the AML/KYC and compliance implementation to enable the continual success and expansion of Rise business operations. You will also ensure that Rise maintains an excellent regulatory record, whilst ensuring that business objectives and compliance goals are achieved. To be successful in this role, youll need to be familiar with areas of regulatory compliance, interested in learning, and have experience & curiosity in the application of technology to solve compliance-related challenges.

Responsibilities

  • The Compliance Officer shall have the ability to interpret and apply legislation, rules, regulations, guidelines, policies and other regulatory requirements relevant to the capital markets. This includes continuous monitoring and implementation of relevant regulations, codes and rules in force from time to time, preparation and submission of regulatory reports as at when due and adopting relevant industry and market best practices in order to minimize and/or mitigate risks.
  • The Compliance Officer shall also monitor regulatory changes and ensure the dissemination of updates on regulations, rules or guidelines and periodic compliance changes to the company and its employees. They shall carry out compliance monitoring covering all operational areas.
  • The Compliance Officer shall ensure that all investments and other operational transactions comply with all relevant legislation, regulations and policies through appropriate control of systems to minimize and mitigate risks.
  • The Compliance Officer shall be responsible for preparing compliance reports on a monthly, quarterly, bi-annual and annual basis as the case may be to the Board of the company and report breaches of regulations to appropriate authorities.
  • Implement compliance frameworks of borderless investments to ensure a smooth launch into new markets and new products.
  • Pre-empt, prevent and correct compliance breaches.
  • Ensure Suspicious Activity Reports, Sanctions Screening, KYC and PEP's are fully investigated in line with regulatory requirements.
  • Recommend technology selection and usage for the attainment of goals.
  • Remain current on industry developments and new FCA, AML and KYC rules & regulations.

Requirements & Skills

  • Three years of experience in AML/KYC and regulatory compliance (verification, CDD, monitoring) for an e-money, digital bank or fintech payments company.
  • A minimum educational qualification of a university degree from a recognized tertiary institution, or professional qualification in the field of Law, Accounting, Actuarial Science, Auditing, Finance, Economics or any other relevant discipline.
  • A legal practitioner with at least three (3) years post-call experience would be a preferred candidate.
  • Experience in designing and implementing compliance processes and programmes across multiple jurisdictions and product lines.
  • Experience innovating processes leveraging technology/data to meet customer and regulatory expectations in the areas of AML/KYC.
  • Knowledge and understanding of Nigerian regulations and awareness of the regulatory principles in Africa and other markets.
  • Proficiency with compliance analytics, monitoring and testing tools.
  • Excellent communication and interpersonal skills.
  • Ability to work independently and as part of a team in a fast-paced environment.
  • Strategic thinking and problem-solving abilities.

Why Rise?

Youll have the opportunity to be part of something impactful and meaningful. Youll be working in a company with a strong mission and a team that is fun, ambitious, and results-driven.

We also offer:

  • Competitive salary.
  • Health insurance.
  • 30 days annual paid leave per year, flexible sick leave and days off.
  • Pension contribution
  • Maternity & Paternity Leave
  • Training and career development opportunity
  • Exposure to a growing fintech company with a clear career path.

Rise is an equal opportunity employer and we value diversity at our company. We do not discriminate based on race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Job Tags

Flexible hours,

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