CAREER OPPORTUNITY:

RISK, RESEARCH AND GOVERNANCE

COMPLIANCE OFFICER

POSITION SUMMARY

The position reports to the Manager, Compliance and is responsible for the day to day analysis and investigations of all
large, unusual or suspicious transactions.

PRIMARY RESPONSIBILITIES
Ensure Source of Funds Declaration Forms (SOFD) are completed for all transactions of TT $60,000.00 and
over.
Report on all suspicious activities of unit holders and staff and Politically Exposed Persons (PEPS).
Assist with conducting Customer due diligence to ensure adherence to the “KYC” Principle.
Weekly follow-up on submitted SOFD and funds remitted by wire transfers.
Assist in developing and conducting the AML/ATF training plan.
Assist with the maintenance of the Enquiry register.
Ensure records are kept in accordance with legislation and the Corporation’s Retention Policy.
Ensure the efficient use of the GRC (AML/ATF solution) is adequately employed so that exceptions or “Red
Flags” are detected and investigated relating to unusual or suspicious transactions.
Maintain the monitoring list of all unusual transactions.

The selected candidates must have the following combination of qualifications, skills, training &
experience:
Bachelor’s Degree in Management, Accounting or Banking or equivalent from a reputable University and/or
semi-professional pursuing ACCA, CGA, CIMA or CIA.
Minimum of five (5) years experience in the Banking Sector, Mutual Funds Industry or Accounting at the
supervisory level.
Knowledge of the Corporation’s Act and relevant legal and regulations relating to the Corporation’s products
and services.
Knowledge of the Corporation’s and all regulatory, legal and guidelines relating to money laundering and
terrorism financing both locally, regionally and internationally.
Knowledge of the Corporation’s AS400E System.
High level of analytical skills to assess and interpret trends.
Ability to think strategically.
Detailed Oriented.

Applications with Curriculum Vitae, giving details of qualification and experience, must be
submitted by July 05, 2010
Email: humanresources@ttutc.com