Regulatory Compliance Advisor

Our client is seeking to recruit a Compliance Executive to join the team. 

Duties include:

• Assist the Head of Regulatory Services to provide day-to-day support in the development, implementation and maintenance of regulatory compliance for a variety of clients within investment services (specifically MIFID);
• Assist with the development and implementation of compliance policies and procedures-ensure compliance policies and procedures are effectively communicated to client, in accordance with the client’s regulatory requirements;
• Monitor and interpret new regulations which could impact clients;
• Monitor MFSA circulars etc. to follow up with clients;
• Assist in the submit quarterly compliance reports;
• Assist in conducting onsite compliance visits;
• Assist regulators during their onsite visits; and
• Handling correspondence with regulatory authorities;

• Minimum 3 years of experience in a compliance or regulatory advisory role, ideally within the funds, investment, or financial services sector.
• An understanding of the role of the compliance officer, the compliance program development and its maintenance;
• Eager to grow and eventually becoming PQed.
• An understanding of laws and regulations surrounding investment services business and their application.

• Be in possession of a tertiary degree or professional qualification related to law, banking and finance and investment services