Our client a leader in the Investment industry is looking for a Senior Compliance Officer to join their team
Responsibilities:
Review and validate client onboarding applications and conduct suitability assessments to ensure compliance with MIFID regulations and internal standards
Handle transfer requests, including those involving probate cases
Assist in preparing MFSA Conduct of Business Returns and support complaints handling
Maintain the Insider List for CCFG
Support data submissions to the MFSA and assist with KYC questionnaires for counterparties.
Oversee day-to-day compliance tasks
Conduct regulatory training sessions for employees, focusing on aspects such as the MFSA conduct of business rulebook.
Submit the List of Financial Instruments.
Assist with the annual review of procedures.
Support the Compliance Manager in preparing for MFSA visits and submissions as needed.
Requirements
Candidate need to have the MIFID Knowledge. Without such candidates cannot be considered for this role
Previous local or foreign experience in a similar role
Excellent written and oral skills in English
Able to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk
