Compliance Assistant Manager

A reputable client of ours specialising in the Financial Services industry is currently looking to onboard a Compliance Assistant Manager to join their team of professionals:

Duties:

• Assisting the Compliance Officer and MLRO in maintaining and developing a compliance culture with all legislation and regulations applicable to the Company
• Supporting the Compliance Officer and MLRO in directing the compliance function
• Assisting in implementing policies and procedures and checklists including updating such documents in line with regulatory developments and the Company’s requirements
• Ensuring the meeting of regulatory submission deadlines
• Assisting in the organisation and provision of staff training
• Supporting the employees on regulatory queries including matters related to AML/CFT and Data Protection
• Tackling regulatory issues and interpretation of applicable legislation and/or regulations
• Assisting the Compliance Officer and MLRO with the review of the Business Risk Assessment and overseeing Risk Evaluation Questionnaire submissions
• Assisting in the review of the Client Risk Assessment methodology
• Assisting in the preparation of Compliance Reports for Board of Director meetings
• Carrying out the Compliance Monitoring Programme, as well as out-of-jurisdiction risk assessments
• Devising sample-based compliance reviews of files and recommending action to be taken on findings
• Reviewing and approving legislative and regulatory update reports 
• Assisting the Compliance Officer and MLRO with AML/CFT and any other ad hoc issues as required

 

Skill-sets and Requirements

• Must have solid experience in Regulatory Compliance (meaning compliance of MFSA-regulated entities operating in the MiFID investment firms sector)
• Minimum 5 years’ experience in a Compliance related role
• Must have excellent communication skills in English, both written and verbal
• Capable of working within a team, managing multiple tasks and working against stringent deadlines

Education & Experience

• Bachelors ́ level (MQF Level 6) education in law, finance, accounting, economics or related discipline
• Compliance-related qualifications, such as those awarded by the International Compliance Association (ICA)

Job Reference: TB758