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Analyst II, Compliance

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Pilot Company

2024-10-02 23:40:41

Job location Houston, Texas, United States

Job type: fulltime

Job industry: Administration

Job description

Job Description

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.

Essential Functions

Facilitate end-to-end Know Your Customer (KYC)/Due Diligence (DD) onboarding for PFJ Energy

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 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

Inform a friend!

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