NAUS Recrutamento e Consultoria

• Conduct KYC reviews and client risk assessments, including periodic review forms, assigning appropriate risk ratings under the supervision of the Compliance Officer; • Support the onboarding of new clients and funds, including performance of AML/CTF/CPF procedures; • Respond to KYC and due diligence requests from counterparties, prime brokers, administrators, custodians and correspondent banks, ensuring timely and accurate provision of the Organisation’s KYC documentation pack; • Maintain and update the Organisation’s KYC documentation pack, ensuring all entity documents, UBO information and regulatory certificates remain current; • Monitor client activity and escalate concerns to the Compliance Officer as appropriate; • Assist with FATCA and CRS obligations, including DITC registration, annual reporting and self-certification reviews; • Support Economic Substance Notification (ESN) filings and assist in assessing the Organisation’s economic substance obligations; • Assist with Beneficial Ownership Register (BOR) obligations and annual exemption notifications under the Beneficial Ownership Transparency Act; • Support the preparation and timely submission of Fund Annual Returns (FAR) and other CIMA regulatory filings; • Help prepare materials for AMLCO/MLRO reports and internal Board Reports; • Support the development and communication of the risk and compliance framework, with an emphasis on risk mitigation and business risk assessment; • Assist in reviewing and updating compliance policies in line with regulatory changes; • Contribute to the maintenance of the company’s risk register and risk appetite statement; • Support the preparation and updating of country risk assessments and the company’s geographical heat map; • Assist in maintaining compliance with CIMA’s Corporate Governance Rule and Internal Controls Rule, including supporting annual governing body reviews and documentation; • Maintain compliance logs and records as required by applicable governing regulations and CIMA guidance; • Monitor regulatory developments and relevant legislative changes, flagging updates to the Compliance Officer; • Assist in coordinating and conducting internal compliance reviews and monitoring activities; • Support the implementation of corrective actions to address identified compliance gaps; • Support the Organisation’s readiness for CIMA onsite inspections, including full-scope and thematic reviews; • Help foster a culture of compliance awareness throughout the Organisation; • Assist in delivering staff training on key AML regulations, cybersecurity procedures and internal policies; • Assist with the preparation of Compliance Letters and support operations with compliance-related workflow improvements.