Regulatory and Compliance Executive

Our client, an established law firm, is seeking to recruit a Regulatory and compliance Executive to join the team. The chosen candidate will be responsible for managing and overseeing the licensing, regulatory and compliance requirements for clients within the financial services industry, which include financial institutions such as EMI’s, payment service providers as well as collective investment schemes. This role requires a thorough understanding of the local regulatory frameworks, excellent communication skills, and the ability to manage multiple client relationships effectively.

Duties include but are not limited: 

• Prepare, compile, and submit regulatory licensing applications for clients, ensuring compliance with the applicable regulatory bodies (MFSA)
• Advise clients on regulatory and compliance matters, including the interpretation and application of laws and regulations. 
• Acting as the primary point of contact for clients seeking guidance on regulatory and licensing matters. 
• Liaising with the MFSA, responding to queries, and handling any follow-up actions required during the application and post-licensing process.
• Draft and review documents, policies, and procedures related to regulatory compliance and licensing requirements including compliance monitoring programmes.
• Monitor ongoing regulatory obligations and ensure clients remain compliant with all statutory requirements
• Attending Board Meetings in order to assist with compliance related matters 
• Keeping abreast of the regulatory developments and industry trends
• Contributing to legal and regulatory due diligence exercises 
• Assisting with change of control applications with the MFSA

• Minimum of 3-4 years of experience in a regulatory, compliance/ licensing role
• Strong knowledge of Maltese regulatory frameworks, particularly in financial services,
• Excellent analytical and research skills, with the ability to interpret complex regulatory requirements
• Exceptional written and verbal communication skills in English with the ability to effectively liaise with clients and regulatory bodies
• Exceptional written and verbal communication skills in English with the ability to effectively liaise with clients and regulatory bodies

• A degree in Law, Finance, or a related field.