PRINCIPAL RESPONSIBILITIES and REQUIREMENTS

1. Administer and execute the Regulation 9 Review program as well as other Discretionary Asset Management Compliance Related Functions.

2. Attend Investment Committee meetings 

3. Oversee the Junior Compliance Analyst and assist in the execution of the Compliance Monitoring Program in accordance with the established schedules for banking reviews. Assist in the periodic review and update compliance related policies and procedures to ensure that policies are adequate and in compliance with applicable U.S. laws and regulations.

4. Assist in the execution of the Compliance Training Programs to address all policies and procedures, as well as all applicable U.S. laws and regulations.  Compile and maintain training materials and conduct training sessions for all new and existing employees.

5. Assist with the coordination of all regulatory agency examinations, other external and internal audits and Head Office Requests such as KRIs and Quarterly Compliance Certificate Information to ensure that compliance issues are adequately addressed in connection with such exams or audits.

6. Assist with all compliance and risk management related issues that may arise from time to time from all departments within Global Private Banking-USA. 

7. Research and respond to compliance-related questions from management, using internal and/or external legal counsel, compliance library and regulatory reference materials, regulatory agencies and professional compliance associates.

8. Assist in the review of all advertisements, brochures, lobby notices, signs and other promotional materials prior to printing to ensure their compliance with regulations, and ensure that all obsolete and non-complying promotional materials are promptly destroyed.

9. Review new client and existing relationships, as well as, special Letter of Credit transactions for KYC and/or EDD for signoff purposes.  Investigate, process and maintain a log of Suspicious Activity Reports as necessary ensuring that information is disseminated to the appropriate authorities in an efficient manner.

10. Investigate, process and maintain a file for Fraud Attempts ensuring that the information is disseminated to appropriate staff and/or authorities in an efficient manner.