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Senior Analyst (Investment Firms)

About Securities and Markets Supervision

The Securities and Markets Supervision function is responsible for supervising investment services licence holders, collective investment schemes, regulated markets, central securities depositaries, financial and non-financial entities falling under the scope of EMIR and recognised private collective investment schemes, registered tied agents and recognised administrators. The Unit is also responsible for the regulation and oversight of activities in capital markets including the processing of applications for admissibility to listing on Regulated Markets, the processing of notifications in terms of the Securitisation Act, the supervision of the continuing obligations of Listed Companies on Regulated Markets in Malta, the supervision of the markets to identify any market abuse and to carry out any appropriate reviews where applicable.

The Role

  • The candidate will form part of the Investment Firms Team and will be responsible for the onsite and offsite supervision of Investment Firms. The individual will be expected to carry out the following tasks:
  • Act as a reference point and lead a dedicated team of analysts responsible for a portfolio of licence holders;
  • Actively participate and lead onsite compliance inspections, ensuring that they are delivered with high regulatory standards. The candidate is expected to deliver high quality post-visit reports and in a timely manner and escalate any serious matters as required;
  • Assume responsibility in the drafting and delivery of high-quality reports in relation to offsite work, evidencing analysis of any weaknesses identified, major findings and recommending any appropriate actions to address any deficiencies and/ or non-compliance matters;
  • Communicate and liaise directly with, licence holders to resolve any arising matters and queries, national and foreign regulators as well as representing the unit in meetings as necessary;
  • Manage and supervise the reviewing of financial documentation on an on-going basis, overseeing the compilation of a risk monitoring system and adopting a risk-based approach to ensure effective supervision of licensed entities;
  • Handle a number of cases involving licence holders who require enhanced supervision and liaise with other units/ sub-teams as necessary;
  • Liaise with senior managers to identify and address supervisory gaps;
  • Undertake other supervisory work as delegated by line management.

 About You

We are looking for candidates with a solid academic background in Law, Accountancy, Banking and Finance, Economics or Public Policy or in another finance-related area, to increase the current pool of internal expertise in the team. Potential candidates should be familiar with MiFIR/D and CRR/D.

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.

The candidate should possess the following skill set:

You will also possess a minimum of five (5) years working in the area of financial services and/or compliance with financial services regulation. 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, we would still be interested in speaking with you.