Compliance Quality Control Expert

2 months ago

Salt Lake, Utah, United States Alter Domus Full time

About Alter Domus

We are a leading global provider of alternative investment fund services, with a presence in 23 countries and a team of over 5,000 professionals. Our mission is to deliver exceptional service and support to our clients, while fostering a culture of innovation, collaboration, and excellence.

Job Summary

We are seeking a highly skilled and detail-oriented Operations Quality Assurance Specialist to join our team. As a key member of our risk management team, you will be responsible for ensuring the accuracy and integrity of our customer transactions, identifying and mitigating potential risks, and providing exceptional support to our clients.

Key Responsibilities

  • Perform independent reviews and validations of customer transactions to ensure accuracy and compliance with regulatory requirements.
  • Analyze review results to identify gaps or issues with processes, procedures, or training, and provide recommendations for improvement.
  • Monitor exceptions, review for clearing, and prepare reporting for the teams and management.
  • Perform thorough analysis of customer identification documentation, such as formation documents, photo identification, and IRS forms W8/W9, to ensure accuracy, completion, and validity.
  • Assist in monitoring internal system workflows to ensure outstanding items are addressed in a timely manner.
  • Recognize and escalate high-risk factors to the appropriate internal parties for further review.
  • Assist the Legal and Risk Management teams with ad-hoc projects and compliance initiatives as needed.
  • Assist with process and procedure improvement and standardization.
  • Assist with training staff on various risk management processes.

Requirements

  • Bachelor's degree in a relevant field, such as business, finance, or accounting.
  • Outstanding organization skills and strong attention to detail.
  • Ability to learn quickly, adapt to changing priorities, and meet deadlines while maintaining a high level of accuracy.
  • Knowledge of government and banking regulations around KYC and AML is a plus.
  • Audit or Compliance experience is a plus.
  • Exceptional written and verbal communication skills.

What We Offer

We are committed to supporting your development, advancing your career, and providing benefits that matter to you. Our industry-leading Alter Domus Academy offers six learning zones for every stage of your career, with resources tailored to your ambitions and resources from LinkedIn Learning. Our global benefits also include:

  • Support for professional accreditations such as ACCA and study leave.
  • Flexible arrangements, generous holidays, birthday leave.
  • Continuous mentoring along your career progression.
  • Active sports, events, and social committees across our offices.
  • Support with mental, physical, emotional, and financial support 24/7 from our Employee Assistance Program.
  • The opportunity to invest in our growth and success through our Employee Share Plan.
  • Plus additional local benefits depending on your location.

Equity in Every Sense of the Word

We are in the business of equity, in every sense of the word. For us, this means taking action to ensure every colleague has equal opportunity, valuing every voice and experience across our organization, maintaining an inclusive culture where you can bring your whole self to work, and making Alter Domus a workplace where everyone feels they belong. We celebrate our differences, and understand that our success relies on diverse perspectives and experiences, working towards shared goals and a common purpose. Thanks to the work of our Group DE&I Committee and network of DE&I Champions, we empower all of our people to be truly invested in the alternative.

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