Compliance Manager (Regulatory & AML)

Intermediate ( 3 - 5 years )
Employer
Castille
Sector
Type
Onsite UTC+1
Duration
Ongoing
Salary
Competitive
Job Category
Compliance Manager
Skills Required
Anti Money Laundering
Compliance
Investment Management and Funds
Regulatory Compliance (Investment Services)
0

A Compliance Manager (Regulatory & AML) is being sought by a local investments company. You will be reporting directly to the board upon successful completion of probation.


  

Requirements 


  • Preparing quarterly and annual compliance reports 
  • Maintaining a report of breaches and present this as part of the compliance report. 
  • Maintaining and execute an ongoing compliance program that covers all aspects of the business which is to be executed on a rolling basis.  
  • Ensuring that you are up to date with all new regulations, carefully analysing these and advising the board and management of the implications of the new regulations 
  • overseeing processes that may need to be changed in order to adhere to the new regulations. 
  • Submitting all the required reports to the MFSA and other regulators on an ongoing basis. 
  • Keeping updated all the company’s policies and procedures ensuring that they represent the forefront of best practise and good governance 
  • Liaising with the MFSA, FIAU and other authorities on any correspondence that the firm receives in respect of its obligations to the regulators 
  • Keeping up to date with the latest in training in the industry to ensure the company is at the forefront of industry trends. 
  • Generally, to ensure that the company is at the forefront of best practice and good governance to ensure we are the industry leaders in this respect. 
  • Leading a compliance team that reflects the size and nature of the company’s activities 
  • Ensuring the company has proper documented standard operating procedures that are in line and comply fully with the relevant up to date regulatory requirements including, but not exclusively, the MFSA’s standard license conditions, MFSA rulebook, as well as Mifid II, MAD, MAR, SFDR, thereby helping to safeguard the company’s reputation. 


Requirements


  • Have relevant experience in a similar role 
  • An academic background in Law or another related background which may be considered relevant for this post, at NQF Level 6 or better. 
  • Already PQ’d (or in the process of) would be ideal 
  • Knowledge of other areas such Regulatory Compliance, Investment Management and AML requirements is required 


Job Reference
ZR_37350_JOB
chaticon