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Analyst (Investment Firms) within Conduct Supervision

About Conduct Supervision

Conduct Supervision is responsible for the setting up and implementation of the regulatory framework aiming to secure appropriate consumer protection in operations of licence holders in the financial services industry. The Conduct Supervision department is a relatively newly-formed team which currently employs 26 persons and is projecting growth as it is gradually assuming a cross-sectorial function covering under its remit supervision in conduct of credit institutions, securities, trustees, corporate service providers, as well as insurance and pensions. 

 

The Role

Within this role you will be  will be joining the Investment Firms team within Conduct Supervision which has the primary responsibility of conducting onsite inspections of investment firms with a view to assess their adherence to the applicable Conduct of Business rules, transposing the MiFID II framework.  

You will be expected to:

  • Systematically assess business operations and strategy of investment services licence holders to ensure that consumers' interests are at the heart of the way the business is run;
  • Participate in any thematic reviews undertaken at investment services licence holders;
  • Work closely with the Financial Promotion and Risk Assessment team tasked with analysing emerging risks and trends in the operation of regulated persons;
  • Participate in the analysis of data and intelligence received from the Financial Promotion and Risk Assessment team and other sources to help identify the biggest risks of the securities sector;
  • Represent the MFSA in engagement with internal and external stakeholders as necessary;
  • Handle planned or reactive investment firms’ conduct issues that arise on a day to day basis;
  • Exercise supervisory judgement in handling cases, challenging investment firms on consumer protection issues and ensure that such issues are dealt with expeditiously;
  • Assume responsibility for direct reports; 
  • Undertake any other tasks as delegated by senior management in line with the exigencies of the department. 
 

About You

We are looking for candidates with solid academic background in Banking & Finance and Law or in another finance related background.  A relevant post-graduate degree would be considered an asset.  It would be ideal if the candidate has also exposure in Online Forex trading and Contracts for Differences.

The role calls for an academic qualification in a relevant field 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 possess a minimum of three (3) years working in financial services.
Candidates with longer working experience relevant to the role will be preferred.  If you do not have the necessary academic or professional qualifications but you have at least seven (7) years of relevant experience, we would still be interested in speaking with you. 

 

*Dear Candidate, kindly note that this role is not managed by Castille. MFSA, in this case, is responsible to manage the application process. In case of any difficulties, feel free to contact brand@castilleresources.com, and we will direct your query to the relevant contact at MFSA.
 
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