Lead compliance and risk management at Thndr Securities Brokerage, ensuring regulatory adherence and overseeing compliance operations. Collaborate with teams to mitigate risks and educate on compliance programs.
About the role
- Compliance Officer overseeing AML frameworks, regulatory reporting, and policy management. Collaborating with global teams in fintech focused on emerging markets.
Responsibilities
- Regulatory Reporting: Act as the primary liaison with the FIAU and MFSA. You are responsible for submitting Suspicious Transaction Reports (STRs) and responding promptly to requests for information from the FIAU.
- Suspicious Activity Monitoring: Receive and evaluate internal reports of unusual transactions or suspicious activity. You must determine if there is sufficient suspicion to escalate these to the FIAU.
- AML Framework Management: Maintain and update all AML controls, including Know Your Customer (KYC), Customer Due Diligence (CDD), and record-keeping procedures to ensure they meet the standards of the Prevention of Money Laundering Act and the Implementing Procedures.
- Risk Evaluation: Complete and submit the annual Risk Evaluation Questionnaire (REQ) through the CASPAR portal and ensure the company’s Business Risk Assessment is kept up to date.
- Board Reporting: Produce and present the Annual MLRO Report to the Board of Directors, alongside monthly Risk and Compliance updates, providing a clear view of the company’s financial crime risk exposure.
- Regulatory Oversight: Ensure Verto Malta Ltd remains compliant with all conditions of its EMI license, the Financial Institutions Act, and conduct of business rules.
- Policy Management: Analyse, structure, and improve all internal compliance policies, procedures, and manuals. You will ensure these are operationally effective and accessible to relevant staff.
- Training & Culture: Design and deliver AML and compliance training for all staff and the Board of Directors, ensuring a strong compliance culture is embedded across the organisation.
- Advisory & Strategy: Act as the main escalation point for compliance matters and advise the business on the regulatory impact of new technologies or product lines.
- Team Leadership: Build, mentor, and motivate a team of committed compliance staff, overseeing their career development and ensuring the department's industry expertise remains current.
Requirements
- MFSA Approval: You must be currently approved (or fully eligible for approval) by the MFSA as an MLRO or Compliance Officer.
- Experience: At least 5 years of experience in AML, compliance auditing, or as a Compliance Officer, preferably within the Payments (EMI), PSP, or Fintech sectors.
- Regulatory Knowledge: Deep understanding of Maltese AML laws, FIAU Implementing Procedures, MFSA rules, and UK regulatory frameworks.
- Education: A Bachelor’s degree in Law, Compliance, Accounting, Business, or a related field.
- Professional Certification: A recognised qualification in AML/Compliance (e.g., CAMS, ICA Diploma) is highly desirable.
- Leadership: Proven experience in building and mentoring compliance teams.
- Communication: Strong verbal and written communication skills, with the ability to relay complex regulatory information efficiently to the Board and external stakeholders including regulators.
- Detail-Oriented: Ability to meet strict regulatory deadlines (e.g., STR/SAR filing, REQ submission) with high accuracy.
- Residency: Must be resident in Malta for the Key Function Holder role, and have full authorisation to work in Malta.
Benefits
- Competitive salary and equity package
- Comprehensive health and wellness benefits.
- Generous paid time off and flexible working arrangements.
- Opportunities for professional development and growth in a rapidly expanding global company.
- Community of colleagues who care deeply about their craft, collaborate with purpose, and enjoy the journey together.
- A dynamic, inclusive, and mission-driven company culture focused on making a real-world impact.
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