Director of Compliance

Location Malta
Discipline: Compliance
Contact name: Francesca Buhagiar

Contact email: [email protected]
Job ref: 15234
Published: 18 days ago
An excellent opportunity has arisen for a Director of Compliance to join  an established company within the asset management industry. The role would be reporting to the Chief Compliance Officer who is based overseas. As a Director of Compliance, you would also oversee the compliance team. The successful individual will be MFSA approved and responsible for overseeing all aspect of compliance.

Duties include: 
  • provide senior management with a compliance framework which assists in the ongoing identification, assessment, mitigation, and monitoring of compliance risks
  • Fostering strong working relationships with all parts of the business such that Compliance is seen to be proactively engaged as a trusted business partner.
  • Providing a pro-active advisory service to all clients and colleagues in relation to regulatory and reputational risk matters.
  • Identifying any regulatory developments that may have the potential to the Group
  • Overseeing the development of policies and procedures including a compliance monitoring plan designed to minimise the risk of regulatory breaches and damage to the company 
  • Ensuring that all breaches are investigated and appropriately resolved and where necessary escalated to the CCO and other members of the Senior Management team
  • Ensuring that an appropriate control framework is in place to monitor the effectiveness of each client’s compliance with the company's policies and procedures
  • Representing the Malta Compliance function at all relevant governing bodies and updating senior management on all matters of compliance pertaining to the company 
  • Setting the objectives of the department and individual roles and responsibilities. 
  • Assessing the overall skill sets of the team and training 
Requirements: 
  • Relevant experience working in-house at an MFSA regulated firm or in a compliance consulting role.
  • Knowledge of the European regulatory framework , AIFMD, MIFID  and local MFSA rules 
  • The ideal candidate must be team oriented 
  • Candidate must already be PQ'd by the MFSA 

An attractive salary will be offered to the chosen candidate commensurate with experience and qualifications.