Analyst Grade 1 Securities and Markets Supervision Unit
|Job Title:||Analyst Grade 1 Securities and Markets Supervision Unit|
|Job Published:||July 25, 2018 11:11|
The specific information being provided below is in addition to and complements the basic details included in the relevant public call for the vacancy in question.
Purpose behind the Recruitment
The MFSA is looking for applicants with a financial background to fulfil a specific role within the SMSU. The eventual appointee will be appointed at Analyst Grade 1 level and be as a reference point for a multidisciplinary team of analysts/supervisors within the investment firms area of the Securities & Markets Supervision Unit.
- A University Honours Degree or equivalent qualification in Accountancy or Banking & Finance or in other Finance related subjects, or in Law (LLD), or a comparable recognised qualification in Finance at NQF level 6 or better duly certified by the Malta Qualifications Recognition Information Centre (MQRIC)*.
- Perform analytical reviews to observe the level of compliance with applicable regulatory standards by Investment Services Licence Holders and eventually the regulatory obligations emanating from the MiFIR/MiFID and CRR/CRD.
- Assist in policy projects and related work (including updating of relevant rules, transposition, issuing guidance notes, dealing with circulars and consultations);
- Oversee a portfolio of investment firm licence holders by taking ownership of the relationship and effectively acting as a point of reference/relationship manager of such licence holders, from an off-site perspective;
- Undertake checks to ensure that regulatory returns are being submitted in a timely, accurate and diligent manner and any errors or misrepresentations are taken up with the relevant licence holder as a matter of priority;
- Engage and address any regulatory issues that may arise in the normal course of the supervised entities’ business to ensure that the level of compliance with applicable regulatory standards is maintained;
- Take decisions and act on his/her own initiative in line with delegated authority and escalate issues outside his/her remit and area of responsibility with his/her seniors within the team;
- Identify high risk and high impact relationships and ensure that action is taken when warranted to protect and safeguard the interests of investors and ensure full compliance with regulatory provisions;
- Generate periodic off-site reports while assessing trends and signs of potential developments in the industry and raising any recommendations as deemed necessary;
- Participate in ‘ad hoc’ assignments related to specific regulatory and non-regulatory issues that arise from time to time and to report on the outcome of such assignments as may be appropriate and necessary;
- ability to multi-task and to meet strict deadlines
- well-developed written and verbal communication skills
- proficient in Microsoft Office, in particular Microsoft Excel
- ability to work within a team
- ability to listen actively and to work on one’s initiative when necessary
- a high degree of self confidence
- basic negotiation skills
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