Compliance Manager

Malta  |  €50,000 - €60,000 

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


  • Primary job focus
    Funds
  • Job type
    Full Time
  • Employment level
    Senior Management
  • Employer industry
    Financial Services
  • Languages
    English

Jobs in funds are related to the management of funds for private and commercial clients. Funds Jobs in Malta include roles such as fund administration, fund accounting jobs and fund management.

  • Job Reference
    CL633
  • Closing Date
    31/07/2022
  • Date Published
    26/05/2022
  • Status
    Shortlisting

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