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Compliance Specialist

  • Location


  • Sector:

    Wealth Management

  • Salary:


  • Contact:

    Tijana Tufek

  • Job Reference:


  • Published:

    about 1 month ago

  • Expiry:


  • Client Details:


  • Consultant:

    Tijana Tufek

  • Skills tags:

    Anti Money Laundering

Unfortunately this job has now expired. However you can view all of our Live jobs here.

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
Skills and Qualifications required:
  • 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