Compliance Services Executive/Consultant

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  • Location


  • Reference

    MMC 11824

  • Salary

    Very Competitive

    Very Competitive

  • Type


The Role

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The Compliance Services Executive role will be responsible for compliance and regulatory needs of the company’s clients on a day-to-day basis. As an executive, you will work closely and directly with the several allocated clients who outsource their compliance function to the organisation, and in some instances, the executives are appointed by the clients as their approved Compliance Officer.

The role requires a competent compliance professional, specialising in financial regulations but with broader industry experience, who will be recognised and approved by the MFSA to fulfil a Compliance Services Executive position. You will have a strong technical knowledge, with the ability to put this into practice at client level. You may specialise in individual financial sectors, but with an interest in and ability to develop and to learn the specific regulatory requirements and legislation across the varied businesses operating in Malta.

Other Responsibilities:

  • This is not a desk-bound, single licensee position. You will operate across a range of clients on a “roving” basis, so the ability to adapt and manage client workload is important;
  • Teamwork is essential as with any small team.  Executives are expected to work with and support each other in their work, even if not named personally as the client’s appointed Compliance Services Executive;
  • You will be expected to take ownership of their allocated clients, which includes regular review of service delivery requirements and profitability of the relationship:
  • You will also be expected to remain aware of market trends and practices, and to be conscious of business development opportunities as they arise, whether additional work/services for existing clients, or potential new clients if the opportunities arise.

The Candidate

  • Provide compliance assistance, support and consultancy to clients assigned across the various financial sectors in Malta;
  • Act as the nominated Compliance Services Executive of clients across the various industry sectors;
  • Pay regular visits to client offices to review practical compliance issues as they arise;
  • Conduct structured Compliance Monitoring Programmes, and prepare resulting Compliance Reports for the client’s Board of Directors on a periodic basis;
  • Prepare and ensure client implementation of relative procedures (Compliance and AML/CFT), and update as required;
  • Conduct due diligence reviews for clients;
  • Maintain clients’ registers (breaches, incidents, complaints, etc.);
  • Assist in the management of clients’ complaints;
  • Update and manage the regulatory and compliance diary for clients;
  • Provide support to the client’s Money Laundering Reporting Officer on matters relating to financial crime;
  • Provide regulatory and compliance training to clients if required;
  • Assist with licence applications for new licensees;
  • Assist and advise clients on MFSA or FIAU on-site visits, and provide support for remedial actions etc as may be required;
  • In addition, executives may undertake other duties to support Active’s clients in Malta, including company secretarial and statutory work where the company is providing such services.
  • The incumbent will be required to be approved by the MFSA to act as a Compliance Services Executive and will maintain personal training, qualifications and Continuing Professional Development, including attendance at suitable seminars, workshops etc. where appropriate.
  • The incumbent will work as part of a small local team, liaising with the wider staff and management in other offices as required.

The Company

A global firm offering a range of business support services to regulated entities operating in the financial services sector in various jurisdictions including Malta. Our Client acts as compliance and regulatory consultants to clients new to the island and to other clients who wish to outsource their compliance officer and related functions to an external service provider.

The Benefits

  • Competitive salary
  • Fast track career progression
  • Professional and friendly team

The Location

Malta is a small archipelago in the Mediterranean Sea, south of Sicily. It is an independent member state of the European Union and home to a little less than half a million people. It is English speaking and salaries are paid in Euros.

Malta is extremely popular for relocations, boasting as it does low domestic tax rates, Schengen Area membership, a rich history, a vibrant and active social scene, and the highest average number of days of sunshine per year in Europe.

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