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Senior Analyst - Enforcement

Job Title: Senior Analyst - Enforcement
Contract Type: Permanent
Location: Malta
Salary: Attractive
Reference: 6180
Contact Name: Tijana Tufek
Job Published: February 03, 2020 08:21

Job Description

A lead regulatory body is seeking to employ a Senior Analyst in their Enforcement unit.

The selected candidate will work closely with and support senior management within the Unit. He/she will be working on the investigation of persons carrying on financial services activities without having the necessary licence or authorisation. The Senior Analyst will also be responsible for the review of actions and where necessary the conduct of investigations of financial services licence holders or other authorised persons and /or their officials who have or are suspected of having committed serious compliance failures, serious misconduct or any other serious breaches of applicable laws, regulations, rules or other regulatory requirements.

Job duties include:

  • Investigation of licence holders and related enforcement action;
  • Investigation of unauthorised business and related enforcement action
  • Coordination and cooperation with supervisory units;
  • Discussing investigative strategy with senior management;
  • Collection of information, documentation and evidence;
  • Attending meetings with licence holders and unauthorised persons under investigation;
  • Conducting on-site investigation visits and surprise inspections;
  • Analysing, assessing and discussing findings of investigations;
  • Identifying breaches or wrongdoing;
  • Preparing investigation reports, memos and correspondence;
  • Consideration of representations received and discussing with senior management;
  • Preparation of memos for submission to the  decision body;
  • Following up on decisions of the  decision body;
  • Attending court sittings as necessary;
  • Investigation of dubious and/or fraudulent activities or schemes;
  • Investigation of financial crime and referral to the police;
  • Internet searches and investigations;
  • Preparation of notices and warnings to the public;
  • Preparation of reports to the police and attending meetings with the police; and
  • Other duties and tasks as may be assigned by senior management.

Skills and Qualifications required:

  • Solid academic background in financial services or in law or in another related background, a sound knowledge of financial services legislation and familiarity with the financial services regulatory framework and a relevant Post-Graduate Degree would be considered as an advantage.
  • 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
  • Minimum of five (5) years working in the area of financial services and/or compliance with financial services regulation for a number of years. 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 ten (10) years of relevant experience, you may still be considered for the role

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