Job Description
We pride ourselves with a strong and highly skilled Compliance Team at Ria. Joining our team means you will have a great place to utilise your knowledge and experience gained so far. Expect to never stop learning as you go as well.
Responsibilities
- Review customer activity and review that system generated smart alerts comply with internal AML/ATF policies;
- Review agent activity and ensuring that transactions carried out at our agent locations comply with internal AML/ATF policies;
- Review that internal communications made by our agent/store employees or back-office colleagues comply with internal AML/ATF policies;
- Assess our agents' knowledge of AML/ATF regulations;
- Provide compliance training to Ria agents (Could be a business owner and/or their employees);
- Keep our customers up to date on all RIA compliance rules and regulations;
- Keep our agents up-to-date on all RIA compliance rules and regulations;