Job Title: Regulatory Executive
Reporting to: Regulatory Team
The role of the Regulatory Executive is to assist with the ongoing services provided to regulated clients of GVZH as well as the compilation of applications/notifications to be filed with the Malta Financial Services Authority, MGA and any other regulatory authorities in connection with the submission of license applications, requests for regulatory approval and/or other notifications requirements.
Job duties and responsibilities:
- Providing support to the regulatory team in the compilation of license applications including the compilation of the relevant application forms and ancillary documentation;
- Providing support to the regulatory team in the compilation of requests for authorizations submitted to the MFSA, the MGA and any other regulatory authorities;
- Coordinating and collating all information and documentation required in connection with submissions to be made to the regulatory authorities;
- Assisting the client with the compilation of the personal questionnaire and required due diligence;
- Corresponding with the client to provide guidance on any additional information/documentation required to complete any application to be made to the regulatory authorities;
- Assisting the regulatory team in formulating internal procedures governing the work-flow processes of the team;
- Preparing meeting packs for board and committee meetings of regulated entities;
- Attending board and committee meetings of regulated entities and drafting of board and committee minutes;
- Assisting clients with adherence to their compliance monitoring program and providing assistance with regulatory queries;
- Assisting the team with the compilation of compliance reports and other compliance related matters;
- Assisting clients with any ongoing communications with and/or approvals by regulatory authorities required in terms of the applicable regulations.
Education and Experience:
- Regulatory background with a minimum of two years’ experience in a similar role;
- Adequate knowledge of the regulatory framework of investment services and financial institutions;
- Previous work experience with a regulatory authority will be considered favorably.