David Jimenez Email & Phone Number

London, England, United Kingdom

London, England, United Kingdom

• Onboarding (Individuals/Corporates/Trust accounts)
• Reviewing and monitoring annual client suitability documentation
• Providing oversight on the Compliance Monitoring Programme – collate information throughout the year to ensure senior management have implemented robust systems & controls in order to identify regulatory risk
• Transaction Monitoring
• Completing manufacturer questionnaires
• PEP monitoring

London, England, United Kingdom

This role focused on remediating client files in particular, key documentation that was not collected during the client onboarding process such as primary and secondary proof of IDs, evidence of source of wealth/funds, internal AML checklists etc.

Gibraltar

• Client onboarding (Individuals/Corporates/Trusts)
• Monitoring of annual suitability reviews from qualitative and timeliness perspective
• Producing quarterly management information
• Annual review of company policies and procedures
• Providing training to employees on changes in any policies and procedures
• Updating register (i.e Breaches/Errors/Gifts and Hospitality etc.)

Gibraltr

Responsible for supporting the underwriting team in renewal and new business activities, reviewing submissions and ensuring they are handled within expected timeframes, and managing administrative tasks related to policies and coverage.

Gibraltar

Produce and distribute accurate and timely pooled fund information to external and internal parties for both monthly reporting schedules and ad-hoc requests, for example, confirmation of NAVs, investor level holdings, investor transaction histories, management fee data, performance figures and audit requests.

London, England, United Kingdom

Working alongside the existing clinical trials monitor/compliance oversight advisor and assisting the research team with administration related to clinical trials.