Our client operates in the banking industry and is looking for a Compliance Officer to act as the main person for all matters related to regulatory and compliance matters for the company and the Scheme, and will be the company's compliance officer as approved by the MFSA.
Responsibilities:
Responsible for maintaining the Scheme’s Compliance Manuals, Policies, and Procedures, and ensuring adherence to them.
Implement the Compliance Monitoring Programme and conduct specific compliance reviews as instructed by the Scheme’s Directors.
Provide compliance support, guidance, and collaboration to the Investment Manager, Administrator, and Depositary to ensure compliance with investment eligibility requirements and restrictions.
Review and approve all fund marketing materials from a compliance perspective, and oversee the annual review of the KIIDs.
Monitor regulatory developments, perform gap analyses to assess their impact on the Company, and oversee the implementation of any required changes.
Continuously monitor the Scheme’s critical service providers and MLRO to ensure their internal controls, systems, and resources comply with regulatory obligations and contractual requirements.
Assist in coordinating activities related to annual general meetings and other meetings involving retail investors.
Serve as the primary liaison between the Scheme and its service providers, including during annual and interim audits.
Act as the main point of contact with the MFSA, leading and coordinating responses to supervisory visits and regulatory information requests as required.
Requirements
3-5 years of local experience in Compliance
Previously PQ'd by the MFSA for a compliance role
Hands on experience and knowledge of the investment services sector, particularly in securities and markets including regulatory and compliance obligations.
Experience in UCITS would be considered an asset
Excellent verbal and written English
Education and Experience
A bachelor degree in Finance, Risk, Legal or a related area
Benefits
Health Insurance
Pension Plan
Ongoing professional Training
Performance Bonus
Preferential interest rates on home and personal loans
