Curmi & Partners

Compliance Assistant Manager

Duties:

• Assisting the Compliance Officer and MLRO in maintaining and developing a compliance culture with all legislation and regulations applicable to the Company
• Supporting the Compliance Officer and MLRO in directing the compliance function
• Assisting in implementing policies and procedures and checklists including updating such documents in line with regulatory developments and the Company’s requirements
• Ensuring the meeting of regulatory submission deadlines
• Undertaking day to day compliance matters
• Assisting in the organisation and provision of staff training
• Supporting the employees on regulatory queries including matters related to AML/CFT and Data Protection
• Tackling regulatory issues and interpretation of applicable legislation and/or regulations
• Assisting the Compliance Officer and MLRO with AML/CFT and any other ad hoc issues as required
• Assisting the Compliance Officer and MLRO with the review of the Business Risk Assessment and overseeing Risk Evaluation Questionnaire submissions
• Assisting in the review of the Client Risk Assessment methodology
• Assisting in the preparation of Compliance Reports for Board of Director meetings
• Carrying out the Compliance Monitoring Programme
• Carrying out of jurisdiction risk assessments
• Devising sample-based compliance reviews of files and recommending action to be taken on findings
• Reviewing and approving legislative and regulatory update reports and circulating to relevant staff members

Skills:

• Experience in regulatory compliance rather than AML/CFT focused compliance (meaning compliance of MFSA-regulated entities operating in the MiFID investment firms sector ) Minimum 5 years’ experience in a compliance related role
• Capable of working within a team, managing multiple tasks and working against stringent deadlines
• Possess very good interpersonal skills
• Must have a good command of the English language, in verbal and written forms
• Good computer skills

Qualifications:

• Bachelors´level (MQF Level 6) education in law, finance, accounting, economics or related discipline
• Compliance-related qualifications such as those awarded by the International Compliance
• Association (ICA) and the Chartered Institute for Securities and Investments (CISI)
• Advanced ECDL/ICDL Professional or similar courses

Please apply via email to Dr. Elizabeth Sammut Borg on eborg@curmiandpartners.com.

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[1]The fund management sector comprising Alternative Investment Fund Management and UCITS Management would also be preferred. 

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Curmi & Partners Ltd is licensed to conduct investment services business by the MFSA under the Investment Services Act (Cap 370 of the laws of Malta) and is a Member of the Malta Stock Exchange.