RESPONSIBILITIES AND QUALIFICATIONS
- Provide advice and support to the business and management relating to business activity, business initiatives, process, procedures and 3rd party matters
- Providing support for and respond to general compliance-related queries, ranging from particular business activity and/or actions, vendor onboarding and/or escalations, counterparty matters and/or firm personnel matters
- Develop and implement Compliance-related policies, procedures and best practice guidelines
- Surveil and monitor activity within the business
- Develop and deliver training for firm personnel relating to Compliance topics
- Monitor the business’s risk and perform assessment of controls
- Perform impact analysis of regulatory changes and implementation of same as it pertains to RMAM business
- Liaise with Legal and other firm personnel to identify and interpret client and regulatory requirements
- Take part in Compliance-led projects and represent RMD Compliance on firmwide and cross regional projects and working groups
- University degree and/or professional compliance/financial services qualification
- Compliance or other relevant financial services experience.
- Real Estate/Mortgage/Consumer Loan business compliance experience preferred, specifically, around residential and consumer loan product acquisition/disposition, due diligence, asset management, and securitization.
- Working knowledge of general real estate and mortgage products.
- Experience of conducting business surveillance or equivalent monitoring activity.
- Good interpersonal skills and effective written/oral communication skills.
- Strong analytical and problem solving skills; Ability to exercise sound & balanced judgment.
- Attention to detail and strong follow-up skills.
- Ability to handle multiple tasks and work under pressure; Ability to challenge.
- Ability to work both independently while keeping management up to date; Ability to work as part of a global team to drive solutions to complex issues.
- A team player who is able forge strong and trusted relationships with colleagues and internal business clients.
- Strong proficiency in Microsoft Excel, Power Point and Word a plus.