Senior Analyst

About Enforcement

The Enforcement Function is responsible for reviewing the actions and where necessary conducting investigations of licence holders who have or are suspected of having committed serious compliance failures, serious misconduct or any other serious breaches of the law. The Enforcement Function also investigates the actions of persons carrying out financial services activities without having the necessary licence or authorisation. Additionally, the Enforcement Function investigates suspicious or dubious schemes and takes the appropriate action in such cases, including reporting the suspicion of criminal activities to the police.

The Role

Within this role you will work closely with and support senior management within the Enforcement Function. You will mainly be working on the investigation of persons carrying on financial services activities without having the necessary licence or authorisation. The Senior Analyst will also be responsible for the review of actions and where necessary the conduct of investigations of financial services licence holders or other authorised persons and /or their officials who have or are suspected of having committed serious compliance failures, serious misconduct or any other serious breaches of applicable laws, regulations, rules or other regulatory requirements.

Responsibilities

• Investigation of licence holders and related enforcement action;
• Investigation of unauthorised business and related enforcement action
• Coordination and cooperation with supervisory units;
• Discussing investigative strategy with senior management;
• Collection of information, documentation and evidence;
• Attending meetings with licence holders and unauthorised persons under investigation;
• Conducting on-site investigation visits and surprise inspections;
• Analysing, assessing and discussing findings of investigations;
• Identifying breaches or wrongdoing;
• Preparing investigation reports, memos and correspondence;
• Consideration of representations received and discussing with senior management;
• Preparation of memos for submission to the Authority's decision body;
• Following up on decisions of the Authority's decision body;
• Attending court sittings as necessary;
• Investigation of dubious and/or fraudulent activities or schemes;
• Investigation of financial crime and referral to the police;
• Internet searches and investigations;
• Preparation of notices and warnings to the public;
• Preparation of reports to the police and attending meetings with the police; and
• Other duties and tasks as may be assigned by senior management.

Education and requirements

To qualify for this role you should have a solid academic background in financial services, law, accountancy, criminology, information technology or in another related background at National Qualification Framework Level 6 or better, in a relevant area. If your qualifications are not Maltese, please make sure that they are certified by the Malta Qualifications Recognition Information Centre (MQRIC) or a widely recognised professional qualification at a comparable level.

You will also possess a minimum of five (5) years working in the area of financial services and/or compliance with financial services regulation for a number of years. Candidates with longer working experience relevant to the role will be preferred.

If you do not have the necessary academic or professional qualifications but you have at least ten (10) years of relevant experience, we would still be interested in speaking with you.

A sound knowledge of financial services legislation, familiarity with the financial service's regulatory framework and a relevant Post-Graduate Degree would be considered as an advantage.

Public Call Permit: 650/2024