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Compliance Monitoring Officer

  • Location


  • Sector:

    Financial Services

  • Salary:


  • Contact:

    Stefani Grech

  • Job Reference:


  • Published:

    3 months ago

  • Expiry:


  • Client Details:


  • Consultant:

    Stefani Grech

  • Skills tags:

    Audit , Compliance

A very well established financial institution is currently looking for a Compliance Audit Officer to join it's team, reporting to the Compliance Monitoring Manager you will be responsible for: 

Job Description
  • Be responsible for undertaking of the full audit cycle pertaining to those audits identified through the Compliance Monitoring Programmes 
  • One will be responsible for the control management over operations’ effectiveness and compliance with all policies and procedures.
  • Support  management in the determination of the internal audit scope and development of annual plans in this regard.
  • Be responsible for the undertaking of Compliance monitoring related tasks, such as the regular review of financial promotions, marketing material, processes & procedures and advisory reports along with any other relevant documentation.
  • Implementation of controls in order to prevent money laundering and the financing of terrorism.
  • Assisting in the taking on (‘onboarding’) of new clients and their screening process.
  • Review of personalised client advisory letters prior to them being issued by the business to clients or prospective clients.
  • Monitoring, recording and dealing with complaints
  • Participating in internal Compliance team meetings.
  • Design, preparation and review of regular and ad-hoc reports and management information statistics for senior management, in collaboration with the Manager.
  • Supporting the Head of Compliance and / or the Senior Compliance & Regulatory Manager in drafting and maintaining corporate governance documents. 

Skills and Experience
  • Degree or Post-Graduate studies in Accounting/Audit or Finance.
  • Basic Qualification in IT literacy.
  • 3 – 4 year experience as an Internal Auditor or Senior Auditor.
  • Excellent interpersonal and communication skills.
  • Excellent organisational skills.
  • Excellent time management skills.
  • High attention to detail and excellent analytical skills. 
  • Diploma (or equivalent) qualification in compliance, regulation and / or AML and Financial Crime; or Diploma (or equivalent) qualification in financial services, law or regulation.