APS.87.25 - Senior Regulatory Compliance Officer

Malta
Permanent
Full-time

8 hours ago

Job DescriptionJOB TITLESenior Regulatory Compliance OfficerLEVEL/BANDMM22DEPARTMENTRegulatory ComplianceDIRECT REPORT (JOB TITLE)Regulatory Oversight Compliance ManagerOverall Purpose of the PositionTo provide guidance/advice in relation to all regulatory obligations associated with the Bank's licensable activities - Banking, Investment Services and Tied Insurance.To ensure that the Bank's regulatory compliance obligations are met on an ongoing basis through the implementation, monitoring and review of appropriate policies, procedures and controls.To conduct oversight monitoring through a 'Compliance Monitoring Programme' on the various functions within the Bank to ensure compliance with regulatory requirements and follow through until the recommendations are implemented.To research, plan, and assist with the execution, and monitor the progress of all business initiatives by way of compliance with regulatory requirements.To assist in Complaints Management, Regulatory Reporting and Tax Compliance.To assist the DPO in relation to Data Protection matters.Operational Responsibilities

To maintain the Unit's manual, logs, registers, and other internal records up to date.
To review the development of existing and new products and services / marketing and relevant advertising materials.
To execute the Compliance Monitoring Programme, by having an active role in conducting interviews, desk-based reviews, collating of relevant information and data and testing accordingly.
Liaising with the Regulatory Oversight Compliance Manager to report and present findings/recommendations accordingly.
To support internal compliance related training initiatives across internal Units/Departments and external as well.
To continue to develop a sound working knowledge of the local regulatory framework and the applicable EU Directives and Regulations - as may be applicable to the specific role. This will include liaison working closely with the Regulatory Development Manager within Regulatory Compliance Unit, and external consultants - as appropriate.
To ensure timeliness of regulatory and tax reporting by liaising with other Departments/Units for data collation and vetting.

General Responsibilities

To effectively collaborate with other members of the team within Regulatory Compliance Unit as well as with other Units/Departments within the Bank.
To demonstrate an ongoing interest in Continuous Professional Development.
To champion the ongoing development of a compliance culture within APS Bank by promoting adherence to policies, guidelines and procedures at all times.
To perform any other duties that may be reasonably assigned from time to time.

Qualifications, Skills & CompetenciesMandatorySkill

Excellent verbal and written communication skills.
Accountable, Organised, Meticulous and able to handle tight deadlines.
Excellent analytical troubleshooting and interpersonal skills.

Experience

A minimum of two years previous regulatory compliance experience in the financial industry.

Qualification

A professional qualification in a relevant area such as banking, finance, accounting, risk, compliance, or a related field.

DesirableSkill

Be computer literate with MS products and familiar with conducting research on the Internet

Experience

A demonstrated knowledge of the current local/EU regulatory framework.

Qualification

Industry acknowledged qualifications such as the ICA Certificate in Compliance.
Membership of or certification by a recognised body accredited in compliance would be viewed favourably.

Position level (1 being the highest level) * Head of Department

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