Director - Compliance Services

4 weeks ago

Waterloo, Canada Waystone Governance Ltd. Full time

For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry - partnering with institutional investors, investment funds and asset managers. We work with our clients to help build, support, and protect investment structures and strategies worldwide.

Our success depends upon our ability to attract and retain the best, most diverse talent and provide our employees with a broad spectrum of professional development opportunities. Our workplace environment is an inclusive one, where employees can be themselves, reach their potential and drive business results.

All Waystone employees are expected to demonstrate our core competencies as outlined below. The role of Director - Compliance Services has unique requirements and duties; however, these responsibilities are to be executed within the organization’s framework of core values. Waystone expects all employees to be high performing, self-motivated, learners and leaders.

**Summary**:Serve as an AML Compliance Officer (“AMLCO”), Money Laundering Reporting Officer (“MLRO”) and/or Deputy MLRO (“DMLRO”) for a diverse portfolio of Cayman Islands funds and Securities Investment Business Act serving as asset managers to Cayman regulated funds (“SIBA’s”). Fund clients will include hedge funds, funds of funds, private equity funds, private credit funds and real estate funds with a broad range of investment strategies, managed by investment advisors located primarily in the North America and European regions.

**ESSENTIAL DUTIES AND RESPONSIBILITIES**
- Assume responsibility for relationship management support to existing client relationships and new clients across their different touch points within Waystone.
- Take on appointments as AMLCO, MLRO and/or DMLRO for a diverse portfolio of Cayman Islands funds and SIBAs.
- Oversee clients’ AML compliance programs, to ensure that systems and controls are developed and maintained in line with Cayman Islands’ Anti-Money Laundering Regulations and relevant legislation.
- Oversee regular audits of clients’ AML compliance programs.
- Assess clients risk assessments/ calculations and risk-based approaches.
- Report periodically to clients’ boards of directors on the adequacy of the AML systems and controls, including key findings and recommendations.
- Monitor the Money Laundering Reporting functions for each client.
- Communicate with clients to resolve any potential AML issues.
- Coordinate teamwork between the internal existing teams to promote prompt and thorough response to client requests.
- Assist in the supervision and monitoring of each Waystone employee who acts in a supporting role to the AMLCO, MLRO and/or DMLRO (with respect to performance of those roles).
- Provide expert advice and assist in transformation projects and in the implementation of best practices.
- Coordinate with Waystone's internal Compliance Department and manage project tasks as appropriate as directed by the Cayman Compliance Directors.
- Carry out duties with mínimal oversight.
- Develop, organize, and/or deliver consistent AML compliance related training.
- Manage ad hoc projects in the Cayman Compliance Services function.
- Maintain a high standard in the performance of daily duties and escalate concerns to the Cayman Compliance Service management team on a timely basis.
- File, where required SAR’s and CRF’s to the respective authorities.
- Prepare detailed reports to CCS management as and when required.
- Develop and maintain detailed knowledge of Waystone operations and the regulatory implications thereof.
- Managing team of multifaceted professionals to support the day-to-day fulfilment of the CCS business unit.
- Contribution to the development of the CCS business unit through training and mentoring to promote cohesiveness.
- Managing day to day workflows to ensure client enquiries are accurately and efficiently responded to on a timely basis while ensuring that the responses comply with internal and external data security protocols.
- Liaising with key internal stakeholders to procure reporting metrics, decision management reporting and identity cross department efficiencies.
- Management of finance responsibilities to the business unit.
- Ensure all relevant matters are escalated as and when required.
- Provide support and assist with ad hoc projects as required.
- Foster a positive team environment and ensure open communication.
- Carry out duties with mínimal oversight.
- Assist with monitoring the Money Laundering Reporting functions - testing of client internal controls regarding AML/CFT compliance, prepare board reports for fund governing boards and communicate with clients to resolve any potential issues.
- Provide advice, guidance, and support across the business to identify, assess, manage and measure operational risks in accordance with the relevant regulatory policies.
- Assist with the design and implementation of internal and operating contr

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