Job: Compliance Officer

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  • Title Compliance Officer
    Categories Latest Jobs in Gibraltar
    Salary DOE
    Location Gibraltar
    Job Information

    Compliance Officer

    Our client is a well established and highly regarded financial services company.


    • Corresponding with potential clients to obtain all due diligence and KYC (both scan and hard copies of all documents) including rationale and source of wealth/funds etc for all new business transactions. Carrying out searches on individuals/entities for new and proposed business; carry out risk assessments as required and update.
    • Corresponding with clients/contacts as required for KYC documents and/or changes to details or structure and/or source of wealth as applicable. Use of all compliance search resources.
    • Periodically review clients/records to check activity changes and update KYC as required. Periodically update client profiles on search resources and maintain/update records.
    • Monitor Sanction List updates and results of automatic search tools.
    • Dealing with any concerns staff may have relating to a business transaction or relationship they may be working on, update searches review company files/records etc. Prepare internal STR if necessary. Filing of any required internal STR to MLRO.
    • FATCA/CRS – annual preparation of information and filings. Annual preparation and filing of Financial Crime Return.
    • Maintain safe custody register records. Maintain training log register and attendance certificates and course material including arrangement and payment of training seminars for staff.
    • Annual review of country risk matrix with Transparency International index. Amend/update countries accordingly. Annual internal compliance report.
    • Responsible to update policies /procedures as required and working with the directors/MLRO as needed.
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