Role Overview

Rizzo, Farrugia & Co. (Stockbrokers) Ltd (the “Company”) is a founding member of the Malta Stock Exchange and licensed by the Malta Financial Services Authority. The Company provides portfolio management, stockbroking and capital markets services to a broad range of clients and operates within a highly regulated industry.

We are seeking to recruit a Middle Office Regulatory Operations Officer to join our team on a full-time or reduced hour basis.

The successful candidate will form part of the First Line of Defence and will be responsible for coordinating a range of reporting, governance and control activities across the firm. Working closely with operational departments, Compliance, Risk Management, Finance and Senior Management, and reporting to a Director of the Company, the role will support the effective management of the Company's regulatory and operational obligations. This is an excellent opportunity for an organised and proactive individual to gain broad exposure to regulatory reporting, operational oversight, investment services regulation and first-line business controls.

Key Responsibilities

Preparation, coordination and submission of regulatory reports, returns, disclosures, certifications, questionnaires and notifications, whilst ensuring compliance with regulatory obligations, filing deadlines and ongoing reporting requirements, including those arising under MiFID, MiFIR, MFSA Rules, MSE Bye Laws, CBM, EBA, DORA, MTCA, FATCA, CRS, QI and generally any other applicable laws, rules, EU Regulations or frameworks applicable to the Company’s business operations.
Collecting and maintaining regulatory records, governance registers, outsourcing records, DORA Registers of Information, supporting evidence and other documentation required under applicable legal, regulatory and internal requirements.
Performing ongoing due diligence on, and managing any periodic due diligence requests from, the Company’s bankers, custodians, service providers, counterparties, and other stakeholders, together with handling and maintaining any updates necessary to the related contracts or agreements with such third parties.
Monitoring regulatory developments, industry guidance and supervisory expectations, and assisting in the implementation of resulting operational, governance and procedural changes.
Assisting with the development, maintenance and periodic review of policies, procedures, internal controls and operational documentation and procedure manuals to ensure continued compliance with applicable requirements.
Supporting Senior Management in the effective implementation and ongoing administration of all regulatory, governance and control obligations across the business, and assuming ownership thereof.
Generally performing or assisting with any other task as may be required from time to time and as may be reasonably associated with the role.

What We're Looking For

A degree in Finance, Banking, Business, Law, Compliance, Risk Management or another relevant discipline.
Previous experience within financial services, regulatory reporting, compliance, or a related field would be considered an asset.
Good understanding of financial services regulation and regulatory reporting requirements.
Strong organisational, analytical and problem-solving skills, with the ability to manage multiple priorities and deadlines.
Excellent written and verbal communication skills and the ability to interact professionally with regulators, auditors, service providers, internal stakeholders and senior management.
Excellent attention to detail, accuracy, maintenance of high standards, and confidentiality.
Advanced proficiency in IT software and Microsoft Office applications, particularly Excel.
A proactive, self-motivated individual capable of working independently, taking ownership of assigned responsibilities, and meeting all set deadlines in a consistent manner.

A car park membership will be offered to the selected candidate.

All applications will be treated in strict confidence.

Middle Office Regulatory Operations Officer (Investment Services)

Job Description