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Analyst (Investment Firms) within Conduct Supervisory

Conduct Supervisory department is responsible for the setting up and implementation of the regulatory framework aiming to secure appropriate consumer protection in operations of licence holders in the financial services industry. The Conduct Supervisory department is a relatively newly-formed team which currently employs 26 persons and is projecting growth as it is gradually assuming a cross-sectorial function covering under its remit supervision in conduct of credit institutions, banks, securities, trustees, company service providers, as well as insurance and pensions.
 
The Role
You will form part of the Investment Services Conduct Supervision Team. Reporting to the Deputy Director within the Conduct Supervisory team you will be expected to:
  • Participate in the on-site inspections of investment services licence holders with a view to assess the latter’s adherence to the applicable conduct of business rules;
  • Assessing on a systemic basis the business operations and strategy of investment services licence holders to ensure that the interests of consumers is at the heart of the way the business is run;
  • Participate in the any thematic reviews undertaken at investment services licence holders;
  • Work closely with the section’s Risk Assessment Team tasked with analysing emerging risks and trends in the operation of regulated persons;
  • Participate in the analysis of data and intelligence received from the section’s Risk Assessment team and other sources to help identify the biggest risks of the securities sector;
  • Represent the MFSA in engagement with internal and external stakeholders as necessary;
  • Handle planned or reactive investment services licence holders’ conduct issues that arise on a day to day basis;
  • Exercise supervisory judgement in handling cases, challenging licence holders on consumer protection issues and ensure that such issues are dealt with expeditiously;
  • Assume responsibility for direct reports;
  • Undertake any other tasks as delegated by senior management in line with the exigencies of the department.
About You
  • We are looking for candidates with solid academic background in Banking & Finance and Law or in another finance related background. A relevant post-graduate degree would be considered an asset.
  • The role calls for an academic qualification in a relevant field of study at National Qualification  Framework Level 6 or better, duly certified by the Malta Qualifications Recognition Information Centre  (MQRIC) or a widely recognised professional qualification at a comparable level. You will also possess  a minimum of three (3) years working in financial services.
  • Candidates with longer working experience relevant to the role will be preferred. If you do not have  the necessary academic or professional qualifications but you have at least seven (7) years of relevant  experience, we would still be interested in speaking with you.
*Dear Candidate, kindly note that this role is not managed by Castille. MFSA, in this case, is responsible to manage the application process. In case of any difficulties, feel free to contact brand@castilleresources.com, and we will direct your query to the relevant contact at MFSA.
 
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