Our client, a close-knit family of highly qualified, highly talented individuals focusing on finding the right financial solutions to their esteemed clientele is looking for a Compliance Officer to join their team.
- Ensuring the company has proper documented standard operating procedures that are in line and comply fully with the relevant up to date regulatory requirements including, but not exclusively, the MFSA’s standard license conditions as well as Mifid II, MAD and MAD II, and the MFSA’s conduct of business rules, thereby helping to safeguard the company’s reputation.
- Updating the firm’s operating manual to ensure the firm adheres to international standards of best practice and governance and ensure that the firms employees adhere to this thus also ensuring the company has a proper operating manual that enables any employee to reference the manual to assess how a job is to be executed.
- Preparing quarterly and annual compliance reports and presenting it directly to the board of directors. Coordinating the completion of the Business Risk Assessment with the Company’s external advisors.
- Maintaining a report of breaches and presenting this as part of the compliance report.
- Preparing and executing an ongoing compliance program that covers all aspects of the business which is to be executed on a rolling basis.
- Ensuring that you are up to date with all new regulations, carefully analysing these and advising the board and management of the implications of the new regulations, also overseeing processes that may need to be changed in order to adhere to the new regulations.
- Preparing the groundwork and implementation of risk management report identifying the needs of any risk management process.
- Submitting all the required reports to the MFSA and other regulators on an ongoing basis.
- Keeping an update on all the company’s policies and procedures ensuring that they represent the forefront of best practice and good governance
- Liaising with the MFSA on any correspondence that the firm receives in respect of its obligations to the regulator
- Keeping up to date with the latest in training in the industry to ensure the company is at the forefront of best practice and good governance so as to ensure we are the industry leaders in this respect.
- Leading a compliance team that reflects the size and nature of the company’s activities
- Ensuring that the company becomes a leader in good governance