Requirements

Responsibilities

Understand and apply all relevant regulatory/statutory requirements such as the FIC Act, FICA, etc
Receive KYC (Know Your Client), NBI (New Business Intake) and LPA (Legal Practice Act) requests from the dashboard and update processing actions
Analyse details provided on Firm questionnaire for FICA purposes, and utilize relevant sources to search and verify.
Check to ensure that all relevant supporting documentation has been provided
Process confirmations of ultimate beneficial owner/s, PEP, adverse information and analyze information (both provided and researched) to determine the level of risk to the firm
Respond to and resolve all general and system queries in relation to FICA requirements timeously.
Monitor alerts and reports received on an ongoing basis
Maintain and file documents on a central database including engagement letters and compliance memos accordingly
Responsible for linking client codes to matters and managing the linking of lead matters in the system as per instructions received

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