Rizzo, Farrugia & Co (Stockbrokers) Ltd is a leading investment and stockbroking firm. We are members of the Malta Stock Exchange and licensed by the MFSA. The company has built a reputation of providing an excellent service and investment advice solely on the basis of investor objectives and requirements.

We are looking for a Compliance and AML Executive to join our team on a full-time basis.

Key Responsibilities

Assist the Compliance Function in the implementation of the Company's compliance framework, governance arrangements and internal control environment;
Monitor the implementation of regulatory requirements stemming from MiFID II, MiFIR, IFR, MAR, SFDR, applicable AMLR, the AI Act, and all relevant rules, guidance, circulars and supervisory expectations issued by the MFSA, ESMA, and AMLA;
Conduct compliance monitoring reviews and thematic assessments and regulatory assurance activities in accordance with the Company's CMP;
Perform monitoring activities, transaction reviews and surveillance processes required under MAR and the Company's internal policies and procedures;
Assistance in performing customer due diligence, sanction searches, and other client onboarding procedures;
Performing periodic reviews of client records, ongoing monitoring of transactions, and updates of risk assessments;
Assisting the Head of Compliance and the MLRO in other compliance-related duties.
Prepare compliance reports, management information, regulatory updates and Board papers for presentation to Senior Management, Committees and the Board of Directors, facilitating effective oversight and informed decision-making.

What We're Looking For

Previous experience and/or qualifications in compliance-related areas, particularly in MFSA rules, EU regulations and/or AML requirements;
A proactive and highly organised individual with a can-do attitude and with the ability to work both independently as well as in a collaborative team-oriented environment;
Proficient IT literacy including a good working knowledge of Microsoft Excel and experience in the use of compliance-related IT tools and software;
Must have a professional approach, high integrity and moral standards, well-organised, a good team player, and capable of assuming responsibility for duties assigned to him/her and to meet set timeframes and deadlines.

Compliance and AML Executive (Investments)

Job Description