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Senior Compliance Analyst

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Brown Brothers Harriman

1mo ago

  • Job
    Full-time
    Senior Level
  • Legal
    Banking & Finance
  • Dublin
  • Quick Apply

AI generated summary

  • You need an undergraduate degree, 7+ years in compliance, expertise in AML/Sanctions, knowledge of fund regulations, strong analytical skills, and the ability to work independently.
  • You will review regulatory changes, provide compliance advice, prepare training, monitor risks, conduct due diligence, liaise with departments, and represent compliance at client meetings.

Requirements

  • Education:
  • Undergraduate degree
  • Experience
  • 7+ years of Compliance expertise including but not limited to CMP, AML / Sanction/ CFT and some products knowledge such as fund administration incl. transfer agency business and / or depositary.
  • Knowledge and Skills
  • Expertise in the financial services industry and current regulatory requirements as they relate to the Fund industry esp. traditional and alternatives Funds such as ETF.
  • Experience and knowledge of rules and standards including AML/CTF/ Sanction, Data Protection, Outsourcing and Anti-Fraud laws and regulations.
  • Strong understanding and experience of Ireland AML /CTF/ Sanction regulations
  • Strong organizational, analytical, and influencing skills
  • Ability to think strategically, along with compliance.
  • Strong communication, report writing, drafting, and issue-spotting skills.
  • Attention to detail and commitment to quality.
  • Ability to multi-task and with minimal supervision
  • Limited managerial experience

Responsibilities

  • Compliance Policy, Process and Documentation: Review new regulatory requirements as well as regulatory consultation documents for changes which may impact FAS and/or TSL. Identify regulatory issues which may impact local business and document these for presenting to your Manager and eventually to the relevant Senior Management Committee(s).
  • Compliance Advice, Issue Identification / Escalation: Provide sound technical compliance advice to FAS and TSL internal stakeholders and assist them to identify compliance risks and develop effective mitigation initiatives including and not limited to AML Sanction and CFT. Identify trends in recurring compliance violations and inquiries and collaborate with other team members to improve compliance procedures and processes, training materials and forms. Identify regulatory issues which may impact local business and document these for presenting it to your Manager and eventually to the relevant Senior Management Committee(s).
  • Compliance Team, Supervision, Training, Management and Business Training: Prepare compliance training materials focused on current Compliance focus and/or any new regulatory changes. Deliver the training to FAS and TSL (with support from broader compliance team as /if appropriate).
  • Compliance Monitoring: Assist in developing and maintaining the Compliance Risk Assessment and contribute to the delivering of the annual Compliance Monitoring Plan for both entities. Draft compliance findings for presenting to your Manager and/or the Head of Compliance for TSL, to the relevant business owners and eventually to the relevant Senior Management Committee(s). Ensuring that outstanding action points identified through the compliance monitoring program are addressed by the line of business within agreed timelines.
  • Maintain ongoing oversight and perform annual due diligence for any activities outsourced outside of FAS and TSL such as but not limited to the AML / CFT / Sanctions activities performed by BBH&Co. Report on the outcome and ensure any findings are addressed on a timely basis.
  • Ensure that there is liaison with Risk Management, OGC and Internal Audit (as necessary) when planning compliance monitoring.
  • Represent BBH FAS & TSL Compliance at client meetings as/when needed.
  • Ensure that the annual AML / CFT / Sanctions Risk Assessment is performed by the team, reflects accurately relevant AML / CFT / Sanctions risks and is presented to the relevant Heads of AML Compliance for both entities for onwards presentation to the relevant Boards on an annual basis as/if needed.

FAQs

What is the role of the Senior Compliance Analyst at BBH?

The Senior Compliance Analyst is responsible for ensuring that compliance activities adhere to applicable rules and regulations, providing compliance support and expertise within established guidelines for both BBH Fund Administration Services Limited and Brown Brothers Harriman Trustee Services (Ireland) Limited.

How many years of experience are required for this position?

A minimum of 7+ years of compliance expertise is required, including experience in areas such as CMP, AML/Sanction/CFT, and an understanding of fund administration.

What kind of educational background is preferred for this role?

An undergraduate degree is required for this role.

What are the main responsibilities of the Senior Compliance Analyst?

Key responsibilities include reviewing regulatory requirements, providing compliance advice, preparing training materials, assisting with compliance monitoring, maintaining oversight on outsourced activities, and ensuring effective communication with risk management and internal audit.

Is experience with AML/CFT regulations important for this role?

Yes, a strong understanding and experience of Ireland's AML/CFT/Sanction regulations are vital for this position.

What skills are necessary to succeed in this role?

Important skills include strong organizational, analytical, and influencing skills, strategic thinking with compliance, excellent communication and report writing abilities, attention to detail, and the ability to multi-task with minimal supervision.

Will I have the opportunity to engage with clients in this position?

Yes, the Senior Compliance Analyst may represent BBH FAS and TSL Compliance at client meetings as necessary.

Are there opportunities for professional growth and development at BBH?

Yes, BBH encourages employees to grow their expertise, take on new challenges, and reinvent themselves within the firm.

How does BBH foster a collaborative work environment?

BBH promotes a collaborative culture by enabling employees to step outside their roles and add value, providing direct access to clients, information, and experts across all business areas globally.

What diversity and inclusion initiatives does BBH have?

BBH values diverse backgrounds and encourages a culture of inclusion that appreciates each employee's unique perspective.

What kinds of benefits does BBH offer?

BBH offers a high-quality benefits program focusing on good health, financial security, and peace of mind, alongside volunteer opportunities through the BBH Cares program.

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Brown Brothers Harriman

Finance
Industry
5001-10,000
Employees
1818
Founded Year

Mission & Purpose

Brown Brothers Harriman (BBH) is a privately-held financial institution that has been a thought leader and solutions provider for over 200 years. We serve the most sophisticated individuals and institutions with expertise in Private Banking, Investment Management and Investor Services. Our 5,000 employees operate from 17 locations throughout North America, Europe and Asia.