Compliance Associate

Role Summary Exclusively On Site | AML, Corporate Compliance, Privacy & Investigations Accountable for end to end regulatory and corporate compliance oversight across Cayman regulated structures. Primary emphasis on AML/ATF/CPF and CIMA frameworks (mandatory), integrated with Corporate Compliance (policy lifecycle and conduct program), Global Data Protection, whistleblowing governance, group wide internal investigations, and third party/service provider oversight. Requires advanced evidence discipline, cross border coordination (US/UK/LATAM/HK/UAE), and delivery under Board/regulatory cycles. Core Responsibilities (Condensed, High Complexity)

• AML & Regulatory Compliance (Mandatory Focus)
• Evidence adherence to CIMA Rules & Statements of Guidance, AMLRs (AML/ATF/CPF), Beneficial Ownership.
• Operate the Compliance Monitoring Plan (CMP): risk based scoping, testing, sampling, workpapers/evidence, sign offs, thematic reviews, issue/risk remediation.
• Lead regulatory change impact assessments (Cayman & cross border), control mapping, and updates to policies/procedures.
• U.S. regulatory filings, coordinate with U.S. counsel and service providers on SEC filings (e.g., Form D/ADV/PF where relevant), FINRA interactions and FinCEN Beneficial Ownership (CTA) reporting where in scope—maintaining full traceability and governance sign offs.
• Corporate Compliance (Policy & Conduct Program)
• Govern policy lifecycle (drafting, reviews, updates/versioning, attestations) for Code of Conduct, ABC (Anti Bribery & Corruption), Conflicts of Interest (COI), Gifts & Entertainment (GEH), sanctions/competition law guidelines.
• Run ABC risk assessments and monitoring aligned to recognized standards; oversee third party due diligence and integrations with AML/KYC where relevant.
• Lead training & communications (role based content, attestations, effectiveness metrics) and track culture/speak up indicators.
• Whistleblowing & Internal Investigations (Group Wide Support)
• Oversee the whistleblowing/ethics hotline: intake, triage, escalation, documentation standards, non retaliation, timeliness, and Board level trend reporting.
• Conduct/support internal investigations across the group (ethics/conduct, COI, harassment/discrimination, irregularities, policy breaches, data/confidentiality incidents), ensuring chain of custody, structured interviews, evidence validation, root cause analysis, and remediation governance.
• Data Protection & Privacy (Cayman DPA)
• Implement/monitor DPA controls: RoPA, legal bases, DPIAs, retention/minimization, cross border transfers, security measures.
• Manage DSARs, consent/preference governance, incident response and breach notifications (with Legal/InfoSec/third parties).
• Integrate privacy metrics into dashboards and governance reporting.
• Governance & Board Support
• Corporate governance oversight: Monitoring adherence to board composition requirements, fit and proper standards for directors, and documented decision making processes.
• Regulatory reporting accuracy: Ensuring timely and correct submission of prudential returns, audited financial statements, and other filings required by CIMA.
• Licensing conditions: Verifying that the entity operates strictly within the scope of its license (e.g., securities investment business).
• Training and competence: Monitoring that staff receive ongoing CIMA compliance and regulatory training relevant to their roles.
• Build/QA Board Packs (KRIs/KPIs, AML/ABAC/COI/GEH and privacy indicators, testing outcomes, heatmaps, remediation trackers).
• Present insights, provide constructive challenge, and close actions with verified remediation effectiveness.
• Maintain statutory registers, resolutions, and audit ready governance documentation.

Mandatory Expertise

Deep AML expertise and proven delivery under CIMA frameworks (AMLRs AML/ATF/CPF, CIMA Rules & SoGs, Beneficial Ownership). Global exposure in AML/compliance (cross border coordination, multi jurisdiction policy/controls). Whistleblowing & internal investigations experience, supporting/group wide cases end to end (triage → investigation → remediation/governance). Corporate Compliance Execution: policy review & updates (full lifecycle), ABC, COI, GEH, training & culture, monitoring & remediation. Experience engaging with regulators, auditors, and Boards/Committees. Hands on Cayman DPA and Global Privacy (DPIAs, RoPA, DSARs, incident/breach playbooks, transfer risk assessments). Knowledge of regulatory frameworks in US, Dubai/UAE and Hong Kong is desirable, as the role conducts oversight over service providers supporting entities and regulatory obligations in those jurisdictions. Demonstrated ability to produce audit ready materials (workpapers, evidence packs, sign offs, methodology notes). Qualifications & Experience Essential (Mandatory)

• Bachelor’s degree.
• 9–10 years total professional experience, with at least 7 years dedicated to Compliance.

Advanced Microsoft 365 (Excel, Word, SharePoint/Records). Preferred (Desirable, Not Mandatory) Certifications: ACAMS, CCEP etc. (or Governance/Compliance diplomas). Experience with GRC/workflow tools and data visualization (Power Query/Pivot/BI). Portuguese and/or Spanish desirable due to frequent interactions with local teams in Brazil and Chile. Full Time – approx. 160 hours per month with availability to work with other time zones Location: George Town Department: Governance, Oversight & Regulatory Compliance Reports To: Local Cayman Compliance Head and UK based team (GMT/BST)