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Goldman Sachs

New York,

PIMCO

Newport Beach,

State Street Corporation

Frankfurt am Main, Germany

State Street Corporation

Boston,

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Compliance Officer
Responsibilities In charge of the Compliance function at a CMS licensed wealth management business Oversee enterprise risk management Monitor regulated business activities to ensure adherence to CMS licensing conditions Provide updates to senior management on the regulatory environment and propose actions, where necessary Ensure all compliance policies are consistent with the latest regulatory requirements Formulate and update company???s AML/CFT framework and policies Supervise the implementation of various compliance, risk, IT risk (TRM), internal controls and outsourcing policies Conduct client KYC/AML and annual reviews for new and existing clients Conduct due diligence and reviews


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