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Compliance and Legal Manager

Reference Number: SM420
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Category
Job Type
Full Time
Availability
Permanent
Compliance and Legal Manager

One of our clients, an audit firm, is looking for an ambitious individual to join their professional team as a Compliance and Legal Manager, mainly to provide support to the company and its clients.

Main responsibilities:
  • Manage and oversee the Compliance Team
  • Draft and review clients’ agreements with third parties
  • Manage operational legal topics, external legal services, and supervision
  • Assist or prepare or review quarterly compliance reports addressed to the Chairman or/and Board in terms of the Corporate Services Providers Act, CSP Rulebook and FIAU;
  • Keep the company in compliance with the Corporate Services Providers Act, the CSP Rulebook, the Corporate Governance Code, Accountancy Board, FIAU and any other applicable rules and regulations
  • Maintain an effective legal compliance monitoring program and other functions where necessary;
  • Prepare or Review Quarterly MLRO Reports addressed to the Chairman or/and Board;
  • Completion of annual Risk Evaluation Questionnaire (REQ);
  • Perform a Business Risk Assessment on the Company and updating it as required;
  • Maintain adequate risk management policies and procedures, which identify risks relating to the Entities activities, processes and systems and set the level of the Entities’ risk appetite;
  • Adopt effective controls, processes and mechanisms to manage and mitigate the risks relating to the Entities activities, processes and systems, in light of that level of risk tolerance;
  • Review and maintain a Risk Register vis-à-vis its clients
  • Responsible for inspections carried out by the MFSA and/or FIAU.
  • Be the central point of contact with the applicable authorities
  • Carry out reporting requirements as needed
  • Develop and review company policies and procedures as necessary;
  • Ensuring that AML and KYC requirements and procedures are properly followed;
  • Reviewing and approving on-boarding clients and on-going monitoring.
  • Perform and manage internal audit procedures, practices and documents to identify weaknesses;
  • Collaborate with external consultants where necessary;
  • Continuous education to the company employees on the latest regulations and processes;
  • Ensuring compliance with multi-national anti-money laundering laws and sanctions, and assisting with the reporting of suspicious transactions;
  • Ongoing monitoring and reviewing all communications and notifications to the MFSA and other regulatory bodies;
  • Ongoing monitoring and research on new policies and functions to be implemented or educated within the company.
Requirements
  • In possession of a Doctorate of Laws or Legal Degree in Malta;
  • Minimum of 6 years of experience in a similar role;
  • Knowledge of Corporate Service, Accounting and Audit industry regulations and standards;
  • Extensive knowledge in Due diligence & AML functions & practices;
  • Able to take ownership in a dynamic environment.
  • Strong organizational and problem-solving skills.
  • Proficient in MS office applications;
  • Excellent communications skills in both English and Maltese.

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