Job Title

Senior Risk and Compliance Officer

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Job Description

Company Introduction

Our client is a leading organisation in accounting, audit, tax and financial planning services.

Job Responsibilities and Duties

  • Reporting to the Risk and Compliance Manager and CEO;
  • The Employee will be responsible mainly for the firm’s adherence to ISQC 1, SFQR, CFQR;
  • Implementing policies and procedures to promote internal culture of quality of engagement;
  • Ensuring implementation and maintenance of regulatory compliance control on all service lines;
  • Ensuring that the firm and its personnel comply with the relevant ethical requirements;
  • Ensuring that the firm and its personnel maintain independence where required;
  • Identifying, evaluating and eliminating circumstances and relationships that are a threat to independence;
  • Ensuring acceptance and continuance of client relationships and specific engagements (ethical requirements and integrity of the clients);
  • Recognising areas within an organisation that could prove vulnerable or risky with regard to prevailing regulations;
  • Implementing a process of monitoring confidentiality, safe custody, integrity, accessibility and retrievability of engagement documentation;
  • Monitoring the overall firm’s quality control policies and procedures;
  • Monitoring and guiding junior team members and coordinating work to ensure team efficiency and team progress;
  • Investigating and maintaining appropriate reporting systems when deficiencies are identified and preventing their future occurrences;
  • Responding to legal enquiries from governing boards or other regulatory authorities;
  • Developing a compliance communication network that is easy to access by employees;
  • Providing guidance to various departments when required;
  • Working with human resources to create awareness programmes among employees;
  • Communicating and explaining policies to all staff member;
  • Keeping oneself up to date with all new regulations and requirements.


  • A Bachelor degree or higher in a relevant study (e.g. Law, Economics, Criminology);
  • At least 3 years' experience in a similar compliance based role.

Personal Skills

  • Extensive compliance knowledge in AML related issues, with emphasis on FATCA and CRS;
  • A very good understanding of risk management or eagerness to learn. Affinity with integrity, culture and governance requirements;
  • A demonstrated commitment to high professional ethical standards;
  • Ability to challenge and debate issues of importance to the organization;
  • Ability to prioritise and deliver within tight time frames;
  • Excellent verbal and written communication skills in English;
  • Excellent interpersonal skills.
Tags: AML, Compliance, English, MFSA, Written and Oral English Communication

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