about 2 months ago
02 May 00:00
Malta Financial Services Authority
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About Securities and Markets Supervision
Securities and Markets Supervision is responsible for overseeing investment services license holders, trading venues, central securities depositaries, recognised private collective investment schemes, etc. The Function is also responsible for the regulation and oversight of activities in capital markets including the processing of applications for admissibility to listing on Regulated Markets and the prevention of financial market abuse.
Within this role you will form part of the Funds Team. Here, you will be expected to carry out the following tasks:
Act as a relationship manager for a portfolio of licence holders, corresponding directly with these counter parties, reporting findings and resolving issues as they arise;
Use judgement to identify high risk cases and prioritising accordingly, escalating issues when necessary to senior management;
Perform analytical reviews to observe the level of compliance by licence holders with the applicable regulatory standards and regulatory obligations emanating from the relevant EU directives;
Undertake reviews of financial regulatory returns, audited financial statements and analyse other data/packs forming part of offsite supervision;
Communicate and liaise with licence holders and attend meetings as necessary;
Conduct desk-based reviews to determine whether licence holders are compliant with local primary and secondary legislation as well as regulations relating to funds and their service providers as updated from time to time;
Attend and assist the Team on onsite compliance inspections conducted on Licence Holders under the relationship allocation of the analyst;
Draft pre and post visit reports of compliance inspections;
Undertake other supervisory ad-hoc tasks or projects as delegated by line management.
The required candidate should have a solid academic background in Law, Accountancy, Banking and Finance or in Economics or in another finance related background.
You’ll be required to have academic qualification in a relevant area of study at National Qualification Framework Level 6 or better, duly certified by the Malta Qualifications Recognition Information Centre (MQRIC) or a widely recognised professional qualification at a comparable level.
You will also have at least three (3) years' experience in the area of financial services and/or compliance with financial services regulation for a number of years. Candidates with longer working experience relevant to the role will be preferred.
If you do not have the necessary academic or professional qualifications but have at least seven (7) years of relevant experience, we would still be interested in speaking with you.
The following skill set is a must for this position:
The ability to multi-task and work on own initiative;
The ability to work in a team;
Excellent verbal and written communication skills;
The ability to cope with a large volume of off-site work, meet deadlines, prioritise and deliver under pressure;
Sound analytical and judgmental skills.