Compliance Officer

Rowan de Podesta
Job Ref
  • Portfolio of outstanding clients across broad range of sectors
  • Professionally Qualified position interacting with regulator
  • Great work life balance & holistic benefits
International, vibrant, rapidly expanding, innovative group corporate service provider that delivers high value-added services and tailored solutions to a wide range of financial institutions, investment managers, corporations and individuals. Joining a dynamic and continuously changing International environment you will learn and develop alongside a team of more than 150 of the best professionals in the business. With an informal culture which encourages a healthy balance between hard work and good fun – we are proud to offer market-leading dedicated services.
Job Description:
As Compliance Officer, you are the onsite person responsible for compliance with the applicable regulatory requirements. You will be the sparring partner for our local management and our Account Managers regarding client due diligence processes. Compliance covers much more than rules; the agenda is set by a bespoke understanding of how best to manage risk. We focus on 'soft controls' instead of checklists and strongly encourage our employees to think for themselves. As every client is different, we look for a balanced approach rather than relying on rigid procedures and checklists.
  • Great salary conditions & holiday allowance
  • Private Health Insurance
  • Good work life balance
  • Stable and successful company
  • International team (10 offices worldwide)
  • Academy & Training
  • Global mobility opportunities
  • Summer BBQs & winter social events and sports activities
Key Responsibilities:
  • Advising in the process of client acceptance and client file reviews, ensuring accuracy and completeness of the client files.
  • Develop, initiate, maintain, revise and monitor adherence to policies and procedures in accordance with all local regulatory requirements (AML, CSP, Trust regulations, FATCA and CRS).
  • Assisting Account Managers with compliance issues during the client’s life cycle (client acceptance due diligence, transaction monitoring, periodic reviews, and exit).
  • Liaising with colleagues on various compliance related topics, related to the relevant legislative requirements such as the implementation of the 4th/ 5th MLD, FATCA and CRS.
  • Taking part in specific local project groups and supporting the global Compliance Department on strategic projects.
  • Perform periodic compliance risk reports to our internal and external stakeholders.
  • Design and roll-out of internal compliance trainings and the preparation of training materials.
  • Participating in Client Acceptance Meetings, Internal Compliance Meetings, and Business Compliance Meetings.
  • Act as approved compliance officer and MLRO for the licensed entities of TM Malta and act as liaison with the MFSA on all regulatory and compliance matters.
Ideal Credentials:
  • Bachelor’s degree or higher in a relevant study (e.g. Law, Economics, Criminology).
  • 3+ years’ experience in a similar compliance based role, ideally within the Financial services industry.
  • Extensive compliance knowledge in AML related issues, with emphasis on FATCA and CRS.
  • Knowledge of the relevant EU Directives and related local legislation that govern financial and ancillary services
  • A very good understanding of risk management or eagerness to learn.
  • Affinity with integrity, culture and governance requirements.
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Rowan de Podesta
Senior Consultant
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