Job: Compliance Officer

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

    Compliance Officer for a regulated financial institution based in Gibraltar.

    Roles and responsibilities:

    • The Compliance Officer will manage and oversee the Corporate Compliance Program, functioning as an independent and objective body that reviews and evaluates compliance issues/concerns within the company.
    • To ensure that Board of Directors, management and employees are in compliance with the rules and regulations of regulatory agencies and that the internal policies, procedures and manuals are up to date, that those policies and procedures are being followed by all staff and that behaviour in the organisation meets the company’s Standards of Conduct.
    • To be aware of ongoing developments in regulations. Responsible for informing the Management and Employees about any regulatory changes and of keeping all company policies, procedures, manuals and contractual documentation updated at all times. He/she will consult with external legal advisors as needed to understand complex regulatory issues
    • The Compliance Officer coordinates the Company’s compliance training of the employees
    • The Compliance Officer maintains an ongoing dialogue with the regulatory agencies and complies with all information requirements, such as the annual compliance & AML reports, financial crime report, GICS return, SARs, etc. Assist the MLRO in daily functions of clients’/business partner’s background checks and transaction monitoring/reporting
    • The Compliance Officer ensures that all new client onboardings are preceded with a detailed KYC process
    • The Compliance Officer identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future
    • The Compliance Officer ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required

    Candidate Skills:

    The Candidate has a sound knowledge and a solid experience of the following regulations:

    –              Markets in Financial Instruments Directive 2014/65/EU (“MiFID II”);

    –              Markets in financial instruments (MiFIR) – Regulation (EU) No 600/2014

    –              Gibraltar implementation of the Markets in Financial Instruments Directive II: MiFI Act 2018;

    –              Undertakings for Collective Investment in Transferable Securities IV Directive (UCITS IV)

    –              Other regulations affecting a Financial Institutions, such as AIFMD, CRS/FATCA, GDPR etc.

    He/she should be fluent in spoken and written English.  French and Spanish are desired.

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