Compliance Manager - Funds jobs in Malta - July 2022
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Compliance Manager
Konnekt Konnekt

Our Client a well established financial services institution is seeking to recruit a Compliance and Investment Officer 

Main Responsibilities

  • In charge of the Scheme’s Compliance Manuals, Policies and Procedures and checking for observance of same;
  • Implement Compliance Monitoring Programme and perform specific reviews as directed by the Directors of the Scheme.;
  • Support/advise/collaborate with the staff complement of the Investment Manager, Administrator and Depositary on compliance-related issues related to the Scheme to ensure adherence to the eligibility investment requirements and restrictions;
  • Approve from a Compliance perspective all fund marketing documents and leading the annual review of the KIIDS;
  • Responsible for monitoring regulatory developments, carrying out Gap analysis to understand the impact of such developments on the Company and overseeing their implementation;
  • Ongoing monitoring of the Scheme’s critical service providers and MLRO to ensure that their internal control procedures, systems and resources are in line with the mandate and regulatory obligations;
  • Assist with the coordination of activities related to the annual AGM and the
  • Act as the main reference point of the Scheme with its service provider and during the Scheme’s annual and interim audit;
  • Act as the main reference point with MFSA and lead, coordinate and participate as required with any supervisory visits or requests for information;
  • Maintain the company’s corporate calendar and schedule of regulatory deliverables;
  • Report to the Company’s Board of Directors on compliance matters as required and at minimum on a quarterly basis
  • Assisting the Board of Directors by liaising with the Company’s legal advisors and Company secretary as required;
  •  Ensure that the Company’s constitutional documents remain up to date on an ongoing basis and that investors and MFSA always have the most updated documents;
  • Ensure that all registers are kept up to date such as conflicts of interest register, complaints register, breach registers etc
  • Coordinate and plan for the provision of required compliance training to the Board of Directors
  • Manage and improve operational management systems, processes, and best practices related to the Scheme.

€50,000 to €60,000 / year
Senior Management
Experience Level
Full Time
Job Type

European Local Funds Manager

Analyst (Funds Team)

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