Compliance Risk Analyst

1 month ago

Houston Texas, United States Pilot Company Full time
Job Summary

The primary purpose of this role is to vet third-party customers and counterparties and maintain proper documentation, including processes. This role will also work to identify risks and develop solutions to mitigate risks at an appropriate risk appetite for the commercial business. This role will also assist with the review of trading activity for compliance.

Key Responsibilities
  • Facilitate end-to-end Know Your Customer (KYC)/Due Diligence (DD) onboarding for Pilot Company.
  • Coordinate with internal partners such as Commercial, Operations, and Credit teams to ensure proper documentation, information, and priorities to complete KYC reporting and clear any flags from the report.
  • Review and interpret third-party documentation to determine the nature of business and ownership structure.
  • Perform sanctions/Politically Exposed Person (PEP) screening and adverse media searches.
  • Analyze the risk documentation and determine the risk level for counterparties. Prepare escalation reports for counterparties, as warranted.
  • Develop plans and perform KYC/DD reviews of existing third-party customers.
  • Review alerts and perform enhanced due diligence where necessary; and escalate as required to the Regulatory & Compliance Manager in a timely manner.
  • Update and maintain KYC documentation, including policies and procedures.
  • Assist Manager, Trading Compliance with review of compliance surveillance alerts, while learning commercial business.
  • Assist with special projects, including but not limited to regulatory inquiries, risk assessments, and presentations.
  • Model behaviors that support the company's common purpose; ensure guests and team members are supported at the highest level.
  • Ensure all activities are in compliance with rules, regulations, policies, and procedures.
  • Complete other duties as assigned.

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