JOB SUMMARY:
The Compliance Manager, as a member of the Cayman Islands Compliance Team, is responsible for ensuring adequate compliance support in relation to Harmonic Cayman’s clients and specialized regulatory compliance support to all business lines (“Business”) of Harmonic Cayman. The role includes planning, implementing, and monitoring Harmonic Cayman’s risk and compliance framework including providing support in the performance of Anti-Money Laundering, Anti-Terrorism Financing and Anti-Proliferation Financing (“AML/ATF/APF”) procedures, coordinating compliance audit activities and communicating findings.
ESSENTIAL FUNCTIONS
Compliance Responsibilities
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Assist in operating, developing, enhancing and communicating the objectives of Harmonic Cayman’s risk and compliance framework with an emphasis on risk mitigation and challenge, and assessment of business risk;
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Review KYC and assist Business in the review of documents for low, medium and high risk clients/investors, including PEPs;
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Review and advise Business on high risk activities such as third-party payments and bank account changes;
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Oversight of the sanction screening process, including potential filings of Compliance Reporting Forms;
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Prepare and deliver the quarterly Compliance Monitoring Program to Harmonic Cayman’s Board of Directors
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Responsible for the annual preparation and filing of relevant AML surveys to Cayman Islands Monetary Authority (“CIMA”);
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Promote a compliance culture within Harmonic Cayman;
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Assess and document Harmonic Group Risk and Compliance objectives
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What We Do
Harmonic is an independent financial services firm specializing in the global alternative investments industry.
We began with a vision of independent, non-conflicted fund services which would be client and investor driven. We embraced technology and paid particular attention to creating an institutional infrastructure while avoiding the pitfalls of a commoditized service sometimes accompanied with size.
Harmonic attracts service-oriented professionals who are motivated, technically savvy, innovative, and thrive in a collegial environment. We foster a culture of performance and specialization, while our flat, cross-functional hierarchy promotes internal and external collaboration.
Our software platform, FM3, serves client needs by delivering unconstrained flexibility and possibility. It was built to support the range of services we offer and provides a unified front to back office platform for asset managers. Developers are embedded in our production environment and are integral to our client relationships. With our unique approach, we accept engagements with challenges that others may be unwilling or unable to undertake.
Harmonic is one of the largest independent fund administrators, delivering a range of services and technology to hedge funds, fund of funds, private equity funds, private banks, pension funds and family offices. With our experienced professionals and technology, we support a dynamic and complex industry characterized by new financial products, trading strategies and markets, shifting investor demographics, and an ever evolving regulatory landscape.
