Compliance Officer

Job Description

Looking to speak with regulatory professionals to join a Cat 3 Licenseholder to fill the shoes of a Compliance Officer in an international organisational setup. 

Duties & Responsibilities:
- filing all reports, returns and notifications with the MFSA
- obtaining documents on MFSA's request
- assisting MFSA personnel as necessary during compliance visits
- review of all relevant documentation key by the Company
- reporting to the Board of Directors on a quarterly basis along the quaterly compliance report
- ensuring the Company is complying with all its obligations under Maltese law in particular with conditions of its Investment Services License and the Investment Services Rules
- ensuring all local regulatory and stautory reporting is carried out concerning suspicious transactions
- ensuring that prevention of money laundering requirements is complied with including training and record keeping
- ensure proper KYC procedures are in place
- dealing with all enquiries from the FIAU and MFSA

Candidates are preferred if they have already submitted their PQ to MFSA, and even better if already accepted for similar roles

 
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