Compliance Manager

Our Client a well established financial services institution is seeking to recruit a Compliance and Investment Officer 

Main Responsibilities

• In charge of the Scheme’s Compliance Manuals, Policies and Procedures and checking for observance of same;
• Implement Compliance Monitoring Programme and perform specific reviews as directed by the Directors of the Scheme.;
• Support/advise/collaborate with the staff complement of the Investment Manager, Administrator and Depositary on compliance-related issues related to the Scheme to ensure adherence to the eligibility investment requirements and restrictions;
• Approve from a Compliance perspective all fund marketing documents and leading the annual review of the KIIDS;
• Responsible for monitoring regulatory developments, carrying out Gap analysis to understand the impact of such developments on the Company and overseeing their implementation;
• Ongoing monitoring of the Scheme’s critical service providers and MLRO to ensure that their internal control procedures, systems and resources are in line with the mandate and regulatory obligations;
• Assist with the coordination of activities related to the annual AGM and the
• Act as the main reference point of the Scheme with its service provider and during the Scheme’s annual and interim audit;
• Act as the main reference point with MFSA and lead, coordinate and participate as required with any supervisory visits or requests for information;
• Maintain the company’s corporate calendar and schedule of regulatory deliverables;
• Report to the Company’s Board of Directors on compliance matters as required and at minimum on a quarterly basis
• Assisting the Board of Directors by liaising with the Company’s legal advisors and Company secretary as required;
•  Ensure that the Company’s constitutional documents remain up to date on an ongoing basis and that investors and MFSA always have the most updated documents;
• Ensure that all registers are kept up to date such as conflicts of interest register, complaints register, breach registers etc
• Coordinate and plan for the provision of required compliance training to the Board of Directors
• Manage and improve operational management systems, processes, and best practices related to the Scheme.

Skill-sets and Requirements

• Eligible for PQ from MFSA
• Have a good verbal and written communication skills;
• At least five years’ experience in compliance and/or risk management.

Education & Experience

At least a professional qualification in one of the following areas related to banking, risk, finance or related area.

Benefits

• Home Loan at a Preferential Rates
• Pension Plans, Life Insurance, and Health Insurance
• Performance Bonus
• Hybrid working model

Job Reference: CL633