Compliance Officer Job ID: 124
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Job Details:
COMPLIANCE OFFICER Our Client is a financial services firm which offers Independent Investment Advice, Live Online Trading, Fund Services, Investment Management Services & Discretionary Portfolio services amongst others. The firm is looking to hire a Compliance Officer. The role: The Client seeks a Compliance Officer to manage the compliance operation, create added value for clients, facilitate sustainable growth as well as protect the firm from legal liability and reputational and compliance risks. The selected individual will form part of a team responsible for: • Testing and montiroing compliance with applicable investment laws and regulations • Training staff on compliance matters • Participation in the development and implementation of company policies and procedures from a compliance perspective • Successful execution of the firm’s compliance program • Vetting new and existing accounts You should: • Possess a Finance?related University degree or hold a financial services qualification. Consideration will be given to candidates without a business related degree, but who have substantial Financial Services compliance experience • Applicants should have a minimum of 1 year with priority given to candidates with direct experience at a financial institution. • The ideal candidate will have proficiency interpreting consumer compliance laws/regulations, investment regulatory requirements related to a full range of financial services and a proven track record of successfully executing a compliance program designed to achieve a high level of compliance with these requirements • Have excellent communication skills and be able to work in a dynamic environment Kindly send CVs to Chris on [email protected] |
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Country: Malta Region: Any Region |
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