Senior Executive - Internal Compliance
Location
Malta
Salary
Attractive
Contact
Mark Cini
Job Ref
1514928
- Contributing to the advisory work provided by the group.
- Discussing with the MLRO any high risk or suspicious matters.
- Assisting the MLRO with reporting requirements.
- Managing the internal compliance inbox
- Assigning tasks, based on urgency and the workload of the compliance executives.
- Discussing queries and due diligence requirements with the team
- Assisting other departments and group companies (incl. FFFL and Capstone) with any AML/CFT queries they might have.
- Discussing with the MLRO any high risk or suspicious matters identified from file reviews.
- Assisting the MLRO with reporting requirements (both internal, such as board reports and external, such as requests by FIAU and other authorities)
- Conducting a basic assessment on files reviewed by compliance executives, prior to sending for final MLRO approval (both onboarding and ongoing reviews)
- Assisting the MLRO with preparing and presenting cases to the Client Acceptance Committee (CAC). This also includes the taking of minutes, in preparation for these to be signed by the chairman.
- Carrying out internal and external reviews of the adequacy of policies and procedures and their implementation, and the drawing up of remediation plans.
- Reviewing customer files and updating of information.
- Carrying out searches and screening.
- Communication with customers to update customer due diligence.
- Carrying out of customer risk assessments
- Participating in off-site projects undertaken at clients of the Group.
- Assisting in the coordination of regulatory examinations.
- Assistance in the development and management of systems adopted by the department, ensuring their effectiveness and efficiency.
- AML/CFT training to employees of other entities within the Group that are subject persons and clients of the Group.
- Providing internal support to the entities within the Group in the development of procedures and the application of those procedures, including the provision of guidance and advice.
- Assistance to the MLROs of the different entities within the Group with the fulfilment of their obligations, including the collection of information in respect of suspicious transactions and the reporting of such transactions to the authorities.
