Senior Compliance Officer

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
• Experts in Regulatory Compliance

Education and Experience

• Qualification related to Compliance

Benefits

• Health Insurance
• Gym discounts
• Performance Bonus

Job Reference: MJ616