Compliance Assistant

BASIC FUNCTION:

The role of the Compliance Assistant is to provide the needed support and assistance to the RCO in performing ongoing review and monitoring of transactions.

Duties and Responsibilities:

1. Assist the RCO in compliance testing and ongoing transaction review and monitoring.

2. Collate necessary supporting documents provided by operations and business units, such as source of funds documents, income and identity verification documents, among others.

3. Make necessary follow-up to obtain pending documentation from operations and business units.

4. Investigate discovered transaction trends and escalate to the RCO for further investigation.

5. Maintain orderly record and documentation of the performed transaction review and monitoring.

6. Handle preparation of responses relating to court subpoena, information subpoena served to the Branch.

7. Keep informed of regulations through reading of the Branch’s Policy Manual and AML/CFT Policy Manual.

8. Act as the RCO’s alternate in his/her absence.

Perform duties that may be assigned from time to time by the Regulatory Compliance Officer or General Manager.