about 1 month ago
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Reputable and stable Mifid II regulated company, holding Category 2 Investment License and enrolment in the Brokers List to act as an insurance broker is seeking to employ a Compliance Specialist for its Malta Office.
The company provides financial planning, investment advice and management and insurance brokerage services to EU residents.
Job duties include:
- Drafting/preparation/updating and implementation of compliance and anti-money laundering policies and procedures, in line with the applicable anti-money laundering regulations, investment services rules, conduct of business rules and insurance distribution rules
- Maintenance of the Compliance and Regulatory Calendar which entails taking appropriate action and reminding the nominated persons of their duties in terms of the applicable regulations relating to the Company
- Carrying out a continuing and formal Compliance and Anti-money laundering and counter funding of terrorism Monitoring Programme basis, to ensure ongoing adherence to the relevant Regulations and the MFSA’s and FIAU’s expectations
- Attendance of board meeting and provision of compliance reports to the Board of Directors
- Maintenance of the Company’s registers (breaches, conflicts of interest, complaints etc)
- Other responsibilities will be included and where possible tailored for the candidate
- A pre-requisite to the role will be sufficient qualifications and experience being a compliance officer for a category 2 MFSA financial services and IDD licensed company. In addition the role will look for a candidate who can assist with regulatory and compliance requirements in other jurisdictions