Compliance Officer and MLRO - US (Digital Transfer Agency)

Compliance Officer and MLRO - US (Digital Transfer Agency)

Company

ZILO Technology Limited

Conditions

6 days ago

Skills

Candidate Availability

Required and preferred rules are kept separate and reflect the wording in the original posting.

About the Role

You will own compliance for ZILO's SEC-registered transfer agent in the US, covering the 17A and 17Ad rule set, and serve as the designated AML officer. You will manage registration and Form TA-1/TA-2 cycles, supervisory procedures, examination readiness, SAR investigation and filing, CIP, sanctions screening, and second line oversight of UK hub processing. You will report to the COO, the ZILO US board and the fund board.

Requirements

• Senior compliance experience in a US SEC-registered transfer agent, fund administrator or comparable registrant, with ownership of the 17Ad rule set
• Direct experience of SEC examination
• Prior designated AML officer experience under the Bank Secrecy Act, including SAR filing decisions
• Experience owning Form TA-1 and TA-2 and the registration lifecycle
• Experience of the annual internal accounting control study under Rule 17Ad-13
• Judgement to form and defend written regulatory positions
• Strong written communication
• Eligible to be fingerprinted and submitted for FBI criminal history check under Rule 17f-2

Responsibilities

• Own SEC transfer agent registration and the Form TA-1 and TA-2 cycle
• Own written supervisory procedures for the registrant
• Own SEC examination readiness
• Own the annual internal accounting control study under Rule 17Ad-13
• Own the custody and activity perimeter position and defend it in writing
• Act as designated AML officer for the fund programme
• Investigate, decide and file suspicious activity reports with FinCEN
• Oversee customer identification programme, due diligence, and sanctions and PEP screening
• Oversee transaction monitoring and own wallet freeze and unfreeze position
• Own compliance with 17Ad rules and Regulation S-P
• Own conflicts register, financial crime prevention procedures and whistleblowing channel
• Provide second line challenge to UK hub processing and oversee service providers
• Report to the COO, ZILO US board and fund board

Benefits

• Medical cover
• 401(k) plan
• Paid time off
• US public holidays

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