Due Diligence Officer

Main Tasks:

• Perform initial operational due diligence on investment funds and contractual counterparties, distributors and tied agents, in line with the firm’s requirement to comply with applicable Swiss/EU law and regulations and internal policies.
• Obtain required information from clients and counterparties through established due diligence questionnaires. 
• Assist local operational teams with due diligence activities. 
• Perform due diligence and AML/KYC checks, IDD, EDD, PEPs 
• Identify and verify UBOs (Ultimate Beneficial Owners) and PAOB (Persons Acting on Behalf) according to applicable EU and Swiss laws and regulations. 
• Perform ongoing monitoring of existing customers and counterparties as to completeness according to established policies and procedures. 
• Perform oversight due diligence on customer’s and counterparty’s documentation and information and request missing information and documents. 
• Update Customer’s record on internal database. 
• Regularly liaise with business team members and onboarding committee.
• Prepare pre-approved list and quarterly compliance report per every quarter.
• Assess request for additional approval for Tied Agents.
• Prepare onboarding protocol for Tied Agents and Tied Agent Representatives. 
• Carry out trainings of new colleagues in English and Serbian
• Assist Due Diligence Team Lead in delegation and organization of work tasks.
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Responsibilities:

• Continual monitoring and procedure’s updating.
• Ensuring ongoing monitoring and Due Diligence checks.
• Keeping track of regulatory changes and updating applications and rules.

Requirements:

• Hold a university degree in a relevant field – law degree.
• Knowledge and background of CDD, AML/KYC, EDD, Compliance of EU laws and regulations (especially Luxembourg and Germany), Swiss law and regulation.
• Knowledge and Experience of Investment Funds and Distribution Regulations (UCITSD, AIFMD, MiFID, Swiss CISA/CISO, FinSA, FinlA 
• Have advanced English language skills, complemented by excellent communication and teamwork abilities.
• Analytical and data-driven, orientation on details, strong organizational skills, searching approach, thinking out of the box
• Independence in work after initial training