Global Shares - Compliance Officer & MLRO (MFSA Approved)
JPMorgan Chase
- Malta Island
- Permanent
- Full-time
- Advise on client asset framework and the safe keeping of assets;
- Manage and support responses to regulatory information requests and visits/ inspections;
- Support and Oversight of complaints review and reporting to the regulator and the board;
- Identify, support and manage breaches and incidents to include escalation and reporting to the appropriate forums/ the boards to evaluate materiality
- Support regulatory filing and reporting
- Support internal audit reviews actions closures and reporting to the board;
- Support the roll out of the Monitoring & Testing plan to include advising on market conduct/market abuse monitoring and best execution monitoring.
- Engage and work collaboratively with JP Morgan internal control functions to support to controls implementation and advise on adherence to policies, regulation and internal organisational rules/code of conducts;
- Track and monitor regulatory change, undertake horizon scanning and work with the in-house forums and legal team to support and implement regulatory change;
- Identify compliance risk, assess and support the risk management framework and committee in ensuring risks are appropriately managed.
- Receiving and evaluating in a timely manner any internal reports of transactions or activities giving rise to a possible suspicion of ML/FT, and submitting within the applicable timeframes Suspicious Transaction Reports to the FIAU whenever they believe that there are reasonable grounds to suspect, suspicions or knowledge of ML/T, even in the absence of any internal report.
- Replying within the applicable timeframes to requests for information received from the FIAU.
- Experience in Compliance / Risk in Financial Institutions at managerial level is a must. Experience in compliance testing, results analysis, identifying improvements or remedial actions and presenting findings to senior management
- Responsible leadership experience in management or supervisory positions.
- MIFID II Compliance experience required.
- Risk identification, assessment and management experience
- Experience working in a regulated environment
- Compliance, Legal, Financial Services, Stockbroking or other relevant qualification such as ICSA, ACOI, ICA (International Compliance Association), Institute of Banking.
- A collaborative and adaptable approach to work. Proactive and innovative with excellent interpersonal skills
- Strong interpersonal, communication, leadership, presentation and influencing skills.
- Ability to prioritize multiple tasks, work under pressure and meet tight deadlines.
- Knowledge of MFSA rules and regulations desirable.
- Ability to summarize complex topics concisely and drive practical outcomes.
- Ability to make sound decisions, including escalation when appropriate.
- To work without supervision and act on own initiative to identify tasks to be undertaken.
- Ability to build strong working relationships with central and business aligned functions across the region and co-ordinate delivery across functions.