Compliance, Investigation & Financial Crime Prevention Division

The Compliance, Investigation & Financial Crime Prevention Division safeguards the integrity of GENESIS Collateral House Company by operating a comprehensive, risk-based compliance framework. The Division ensures compliance with applicable international regulations, anti-financial crime legislation and corporate governance standards through continuous monitoring, due diligence, investigation and independent oversight.

Its mission is to identify, assess and mitigate legal, regulatory, operational, financial crime and reputational risks while protecting the Company's assets, investors, counterparties and capital markets activities.

Core Responsibilities

Anti-Money Laundering (AML): Implementation and monitoring of the AML/CTF programme, transaction monitoring and suspicious activity reporting.

Know Your Customer (KYC): Customer due diligence (CDD), enhanced due diligence (EDD), beneficial ownership verification and customer risk assessment.

OFAC Screening: Screening of customers, counterparties, directors, shareholders and transactions against OFAC sanctions lists.

PEP Screening: Identification and ongoing monitoring of Politically Exposed Persons (PEPs), close associates and family members.

Global Sanctions Monitoring: Screening against UN, EU, OFAC, UK HM Treasury (OFSI) and other international sanctions and watchlists.

Enterprise Risk Management: Identification, assessment and mitigation of strategic, financial, operational, legal and reputational risks.

Internal Audit: Independent review of governance, internal controls, compliance and operational effectiveness.

Operational Controls: Oversight of internal controls, segregation of duties, fraud prevention, business continuity and operational resilience.

Compliance Investigations: Investigation of compliance breaches, financial crime, fraud, misconduct and regulatory matters.

Regulatory Compliance & Corporate Governance: Maintenance of corporate policies, governance standards and regulatory compliance across all jurisdictions.

The Division operates independently from commercial activities, ensuring that all securities issuance, custody services, capital markets operations and institutional relationships are conducted with the highest standards of integrity, transparency, regulatory compliance and international best practices.