Responsibilities shall include but not be limited to
Assisting both the Chief Compliance Officer (“CCO”) and the Chief Financial Officer (“CFO”) in overseeing and managing compliance activities for the Alexandria Group, ensuring that the Alexandria Group and its employees are in compliance with applicable regulatory requirements and internal policies and procedures;
Assist the CCO in compliance related matters which may arise from time to time (Data Protection, Cyber Incidents);
Assist with the preparation of regulatory filings (including Economic Substance, Beneficial Ownership Regime reporting, FATCA/CRS) and responding to regulatory and industry outreach questionnaires;
Assistance with daily transaction monitoring;
Conducting and reviewing electronic screening system searches and ensuring any ‘hits’ are reviewed in a timely manner and investigated and resolved appropriately;
Assisting with the conduct of the Groups compliance monitoring program and periodic reviews;
Liaising with client facing staff on day to day compliance matters;
Assisting with internal and external audit and regulatory inspections;
Preparing documentation for meetings of Alexandria's Board of Directors and other internal meetings;
Assisting with on-going monitoring and reviews of client files for adherence to policies;
Maintaining a current working knowledge of laws, regulations and guidance notes (together “regulations”) applicable to the Alexandria Group.
Skills, Qualifications, & Experience required
CA or CPA or equivalent qualification
Relevant compliance or financial crime related certification (i.e. CAMS, CFE, CIA or equivalent)
2-5 years post qualification experience, preferably in a big firm setting
Audit and internal audit experience an asset
Experience using software such as ViewPoint, eSpear, Quickbooks an asset
Excellent English verbal and written communication skills required
The applicant must hold a clean Police Record and will be subject to a full Security Background Check
