Compliance Officer  

Role Summary:

The Compliance Officer is responsible for strengthening ATRAM's compliance framework by planning, executing, documenting, and reporting compliance testing across all business areas. The role performs continuous monitoring, validates adherence to regulatory requirements, supports AML and FATCA compliance initiatives, and partners with business units to ensure controls are operating effectively. Through risk-based testing, issue validation, remediation follow-through, and practical stakeholder guidance, the role helps proactively manage compliance risks and sustain a strong culture of integrity and regulatory excellence

What Business Outcomes the Role is Responsible for:

• Strengthen Compliance Assurance: Execute risk-based compliance testing, continuous assurance reviews, transactional testing, thematic reviews, and control effectiveness assessments across relevant business areas. Identify compliance gaps, document findings clearly, validate root causes, monitor remediation, and support the continuous improvement of the Compliance Program.
• Ensure Regulatory Compliance & Timely Reporting: Monitor regulatory developments, maintain awareness of applicable requirements, coordinate timely and accurate regulatory submissions, and perform testing or validation procedures over reporting processes to confirm completeness, accuracy, timeliness, and proper implementation of new regulatory requirements.
• Enhance AML & Compliance Risk Management: Support AML, FATCA, Data Privacy, and related compliance initiatives through targeted testing, monitoring of business unit adherence, review of counterparties and third-party provider compliance, issue escalation, and delivery of practical compliance guidance and awareness training.
• Drive Testing Quality & Stakeholder Accountability: Prepare clear test plans, testing scripts, sample selections, workpapers, evidence evaluations, testing reports, and issue validation documentation. Work constructively with business units to agree on action plans, track remediation, and reinforce accountability for sustained compliance performance.

What We're Looking For in a Successful Candidate:

• Regulatory & Financial Services Expertise: Bachelor's degree with experience in compliance, legal, audit, risk, or control-related functions within financial services. Strong knowledge of trust, investment, and asset management regulations, including AML, FATCA, Data Privacy, and regulatory reporting requirements.
• Compliance Testing & Controls Capability: Practical experience in compliance testing, monitoring, internal control reviews, risk assessments, controls matrices, testing scripts, workpaper documentation, evidence review, issue rating, root-cause analysis, and regulatory issue validation.
• Risk Assessment & Analytical Capability: Strong analytical, problem-solving, and documentation skills, with the ability to translate regulatory requirements into practical testing procedures, identify control weaknesses, and communicate findings, risks, and recommended actions clearly.
• Communication, Integrity & Collaboration: Builds productive relationships across business units through clear communication, constructive challenge, and effective stakeholder management. Demonstrates integrity, accountability, adaptability, sound judgment, and proficiency in Microsoft Office applications.