Job Details

Job ID: 3867
Job Type:

Job description:
Assisting the Compliance/AML/CFT function in ensuring the company complies with its financial services, legal and regulatory requirements. Perform due diligence on customer and account documentation and information when on-boarding and ongoing monitoring.

This list of duties is not exhaustive and may change from time to time according to business needs.

To provide administrative assistance to the Senior Manager, and the Compliance and Operational Risk Department as appropriate.
Including but not limited to:-
  • Assisting the MLRO/CO in the day to day duties
  • Dealing with queries from members of staff
  • Scanning, photocopying and filing as required
  • Assist with the preparation of board or committee packs
  • Assist with the preparation for Regulatory Visit & Audits
  • Assist with the management of the risk registers
Be responsible for the preparation and filing of various regulatory submissions, including those to the Malta Financial Services Authority (“MFSA”), the Data Protection Commissioner, the Financial Intelligence Unit (“FIAU”) and any other submissions where appropriate or instructed to undertake.

To undertake testing as part of the Compliance Monitoring Programme to ensure compliance with various regulatory requirements, escalating potential risks and managing any actions arising on a timely basis.

Ensure the maintenance of various risk registers (such as errors, escalations, complaints, breaches, gifts, and conflicts of interest), including but not limited to:-
  • Conducting an initial review upon receipt and highlighting any potential risks to line manager
  • Logging, scanning and acknowledging
  • Following up with staff regularly for updates on any actions arising
  • Escalate any issues or difficulties where encountered
Assist with the planning of meetings, preparation and circulation of Risk Committee meeting pack, and drafting meeting minutes.

To participate on an ad-hoc basis in the Department’s various projects as and when they may arise – direction will be provided.

Assisting with the reviewing and approval/rejection of all relevant CDD documentation relating to new/existing client/business relationships and ongoing monitoring
  • Ensure compliance with company standards, policies and procedures
  • Take ownership and accountability for work streams assigned
  • proactively interact with relationship management teams, compliance and internal teams to update system with information through the AML on boarding through to approval of KYC/AML record
  • Review and validate the information within the system to ensure completeness and accuracy
  • Responsible for ensuring KYC/AML record is completed in compliance with corporate AML policies, business unit standard operating procedures and industry best practice to meet Malta Regulatory requirements
  • Maintain customer and account KYC/AML record; perform periodic review, event driven reviews, EDD monitoring and PEP analysis as required
  • Escalate any discrepancies and report workflow progress to manager
  • Meet agreed targets for KYC/AML record review and completion within agreed timeframes
  • Assist in departmental projects as required
  • Ensure policies, procedures and job aids are maintained
  • Track outstanding queries and issues through to timely resolution
  • Working knowledge of Microsoft Office
  • Certification in AML/CFT or equivalent
  • 1 to 2 years’ experience of working in a similar compliance role within a corporate service provider or a trust service provider;
  • Knowledge of the MFSA regulatory framework (desirable but not necessary, as full training will be provided)
  • Knowledge of using open source search engines such as Google for investigative purposes (desirable but not necessary, as full training will be provided)
  • Experience of using Microsoft Dynamics Navision (desirable but not essential)
  • Organised
  • Able to work to tight deadlines
  • Good communication skills – both oral and written
  • Team player
  • Attention to detail and accuracy
  • Friendly, helpful and professional manner
  •  ‘Can Do’ attitude
If you are interested or know of someone that could be, kindly forward your CV in a word format to Blue Whitney on or call on +356 27 204 518 for further information.