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Compliance Officer (Prescient Fund Services)
PRESCIENT
onsite
Westlake
About this role
DUTIES & RESPONSIBILITIES
- Serve as the appointed FAIS Compliance Officer for a CAT I FSP (intermediary only), and FIC MLRO and Compliance Officer and S13B Compliance.
- FAIS monitoring and planning for Prescient Fund Services and related Juristic Representatives:
- Update monitoring plan to be line with the relevant legislation.
- Monitor Continuous professional development (CPD), Class of business training (COB) and Product specific training (PST) of all reps and KI’s within the business.
- Report to Senior Management.
- Submit any regulatory reports required by FAIS.
- Representatives under supervision monitoring:
- Monitor that the representatives under supervision are being supervised and ensure that evidence of supervision is provided.
- AML – MLRO:
- Keep up to date with relevant legislation.
- Assist in any FIC reporting.
- Oversight of ongoing FICA monitoring.
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