Senior Compliance Official - MiFID/UCITSD

Summary of Position:
Forming part of the Compliance team and reporting to the Compliance Manager one will be working closely with other Compliance team members as well as with the rest of the Company. The post entails monitoring, reviewing, advising, training and overseeing the firm’s ongoing conduct of business obligations. One will also be responsible, together with other team members, to execute a 360 ongoing compliance-monitoring programme for all licensed entities within the Group, with a particular emphasis on the investment services and fund management areas.

Duties & Responsibilities:

• Vetting of Client Onboarding Applications & Client Fact Finds, Suitability and Appropriateness Assessments, ensuring all MIFID regulatory requirements and CC standards are met
• Undertake requests for Transfers including Probates
• Actively Assisting in the Preparation of MFSA Conduct of Business Returns as well as assisting in the complaints handling process
• Maintaining the Insider List for CCFG
• Assist in requests for data submissions by the MFSA as well as assist in KYC Questionnaires by Counterparties
• Assist in the Staff and Managerial Dealing Monitoring and Procedures and Staff Training
• Assisting and overseeing the general day-to-day duties in the compliance department including client onboarding and due diligence in line with CC customer acceptance policy
• Keeping abreast with regulatory requirements and changes
• Conducting employee training – Regulatory aspects including MFSA conduct of business rulebook
• Submission of the List of Financial Instruments
• Assist with the annual review of procedures
• Participate in the preparation of the Compliance Monitoring Programmes providing input as required and taking ownership of regular monitoring components of CMP
• Work with the Compliance Manager on ad-hoc projects as required from time to time
• Compliance monitoring tasks on Calamatta Cuschieri Investment Services and/or Calamatta Cuschieri Investment Management, draw up analyses of compliance issues and under supervision prepare and execute follow-up action where required
• Together with Compliance Manager, assist with preparation for MFSA visits and submissions as required.

Requirements:

Experience & Education Requirements:

• Preferably in possession of a Compliance qualification
• 2-3 years experience working within the financial services sector, specifically within investment firms, fund managers, banks and/or with the Financial Services Regulator. Preference will be given to candidates who have already worked in the Financial Services sector with a sound understanding of Investment Services.

Skills Requirements:

• Excellent written and oral skills in English
• Able to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk
• Possess a high moral character and professional integrity
• Meticulous attention to detail and highly accurate
• Knowledgeable in Microsoft Office
• A good team spirit and ability to provide guidance in a constructive manner.

Remuneration:
We are committed to attracting and selecting top people to join our team. We are also committed to creating a workplace that encourages individual growth; we value our people and their well-being.

What we offer:

• Ongoing internal training
• Study Leave
• Sponsorship schemes for further studies
• Opportunities for career growth
• Variable bonus linked to KPI

Visit our home page to see more about our company. All applications will be acknowledged and treated with maximum confidentiality

Reference: CCMT01623

CC Finance Group:
CC Finance Group is a privately held Fintech Group that operates in Investment Services, Fund Services, Online Trading, and Payments. With roots dating back to 1972, the Group today is evolving at a fast pace whilst keeping the same core principles, that of providing clients the best service using the latest technology and the top professionals in their field, whilst ensuring the strictest governance and ethics.