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Compliance Officer — Miami, USA

The Compliance Officer is responsible for assisting in the implementation and maintenance of Henley & Partners compliance policies and procedures at local office level.

Key responsibilities

  • Apply Henley & Partners due diligence process when establishing a business relationship, coupled with on-going monitoring of existing business relationships, utilizing in-house systems and external resources for money-laundering/bribery and other business risks detection
  • Inform senior management about results of due diligence and to give reasoned recommendations for the decision as to establish or decline the business relationship
  • Liaise with staff, including other Henley & Partners entities and departments, to obtain all information necessary to perform due diligence
  • Receive and document Internal Suspicious Activity Reports and submit the same to the Head of Group Legal and Compliance
  • Maintain central registers as required and requested and provide reports on a regular basis to the board, senior management and Head of Group Legal and Compliance and keep them informed of the operation and progress of compliance efforts
  • Ensure the data relating to compliance matters in Henley & Partners Customer Relationship Management System is accurate and up to date
  • Escalate material compliance matters of concern or those that may be contentions to the Head of Group Legal and Compliance
  • Participate in any internal/external audit review
  • Resolve compliance issues and respond to inquiries related to compliance issues or audits;
  • Endorse and maintain Henley & Partners ethos of the importance of an effective compliance culture
  • Educate and train staff members on compliance policies, procedures, and Investment Migration industry practices.

Essential skills

  • Exceptional written and verbal communication skills in English to engage with and present to industry stakeholders, with the ability to create and prepare proposals
  • Collaborative approach to build enduring relationships and influence in a positive manner
  • Excellent negotiation and persuasion skills, including exercising tact and diplomacy at all times
  • Strong research and strategic analysis skills and a high competency in the Microsoft Office suite; experience in CRM is ideal
  • Ability to collect data required to prepare an accurate analysis of the client and offer the most suitable solutions
  • Ability to be a positive representative of Henley & Partners and its brand in the marketplace and at industry events and conferences

Desirable skills

  • University Degree (Bachelor)
  • Compliance background and experience as well as knowledge of legal requirements and controls is preferred
  • Good understanding of concept of compliance and risk assessment
  • Familiarity with Investor Migration practices and professional standards
  • Excellent English written and verbal communication skills
  • Additional ability to read and write in Spanish is an asset
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