Compliance Officer

Location Malta
Discipline: Compliance
Contact name: Ricoh Davids

Contact email: [email protected]
Job ref: 15230
Published: about 1 year ago
Our well-established client within the funds industry is seeking to recruit for a Compliance Officer. This role would be a reduced hours basis (20 hours per week). 

Duties include: 
  • Responsible for ensuring the Company’s adherence to the license conditions.
  • Day-to-day supervision and control over the activity of the license holder.
  •  Preparation of Compliance Reports at least on a quarterly basis.
  • Monitor and to assess on a regular basis the adequacy and effectiveness of the measures and procedures put in place by the Company, to comply with its obligations in accordance with the requirements of the Standard Licence Conditions and the actions taken to address any deficiencies.
  • Ensuring any shortcoming/deficiencies identified are reported to the Board of Directors of the Company.
  • Advise and assist the relevant persons responsible for carrying out Investment Services and activities to comply with the Licence Holder’s legal and regulatory obligations.
  • Drafting policies and procedures for the Company to ensure it complies with its regulatory obligations.
  • Perform training to the Company’s employees and Board when requested.
  • Assist in any regulatory matters the Company may face from time to time.
  • Attending and participating in the Company’s quarterly Board Meetings.
  • Ensure regulatory reporting is performed in an appropriate and timely manner on behalf of the company. 
  • The candidate must be already PQ'd by the MFSA or in the process of being PQ'd. 
  • The ideal candidate must have held previous experience in acting as Compliance Officer 
  • Experience within the funds industry is required