Regulatory Executive

Job Title: Regulatory Executive

Team: Regulatory

Reporting to: Regulatory Team

Job Purpose:

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.

Closing Date

Nov 20, 2022


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