Job Description

Location: Birkirkara,None,Malta

JOB TITLE

Compliance Officer & Governance Support Manager

Level

MS30

Department

Investment Management

DIRECT REPORT (JOB TITLE)

ReAPS Managing Director

Overall Purpose of the Position

Established in 2008, APS Funds SICAV plc is a UCITS funds suite currently comprising five sub-funds with circa €170 million in assets under management. The funds have a mandate to invest across the whole spectrum of local and global public asset markets.

As the Compliance Manager, the incumbent will be the main person for all matters related to regulatory and compliance matters for APS Funds SICAV plc (“the Company and or Scheme”), and will be the Company’s Compliance Officer as approved by the MFSA. The incumbent would be expected to monitor and maintain adequate and appropriate systems and controls to ensure that the Scheme and its sub-funds meet and comply with all regulatory requirements. Additionally, the Compliance Manager would be responsible for managing certain day-to-day business needs of the Scheme.

Operational Responsibilities

• • In charge of the Scheme’s Compliance Manuals, Policies and Procedures and checking for
  observance of same;
  • Implement the Compliance Monitoring Programme and perform specific reviews as directed by
  the Directors of the Scheme.;
  • Support/advise/collaborate with the staff complement of the Investment Manager, Administrator
  and Depositary on compliance-related issues related to the Scheme to ensure adherence to the
  eligibility investment requirements and restrictions;
  • Approve from a Compliance perspective all fund marketing documents and leading the annual
  review of the KIIDS;
  
  • Responsible for monitoring regulatory developments, carrying out gap analysis to understand the
  impact of such developments on the Company and overseeing their implementation;
  • Ongoing monitoring of the Scheme’s critical service providers and MLRO to ensure that their
  internal control procedures, systems and resources are in line with the mandate and regulatory
  obligations;
  • Assist with the coordination of activities related to the annual general meeting / other general meetings for retail investors;
  • Act as the main reference point of the Scheme with its service provider and during the Scheme’s annual and interim audit;
  • Act as the main reference point with MFSA and lead, coordinate and participate as required with any supervisory visits or requests for information;
• Maintain the company’s corporate calendar and schedule of regulatory deliverables;
• Report to the Company’s Board of Directors on compliance matters as required and at minimum on a quarterly basis
• Assisting the Board of Directors by liaising with the Company’s legal advisors and Company Secretary as required;
• Ensure that the Company’s constitutional documents remain up to date on an ongoing basis and that investors and MFSA always have the most updated documents;
• Ensure that all registers are kept up to date such as conflicts of interest register, complaints register, breach registers etc
• Coordinate and plan for the provision of required compliance training to the Board of Directors
• Manage and improve operational management systems, processes, and best practices related to the Scheme.

General Responsibilities

• Participate in ad-hoc projects related to the Scheme’s operational matters;
• Liaise and support APS Group Compliance and Risk colleagues with respect to queries and initiatives related to the Scheme;
• Own the logistical processes needed in place for the smooth functioning of the Scheme.

Qualifications, Skills & Competencies

Skill

• Have the required gravitas to take on the required role and deal appropriately with compliance and sensitive matters.
• Have good verbal and written communication skills;
• Excellent analytical, troubleshooting and interpersonal skills;
• Be computer literate and conversant in MS Office suite.

Experience

• • At least three to five years’ experience in compliance.
• Hands on experience and knowledge of the investment services sector, particularly in securities and markets including regulatory
  and compliance obligations.
• Experience in UCITS would be considered an asset

Qualification

• At least a professional qualification in one of the following areas related to legal, compliance, risk, finance or related area.

Desirable

Skill

• -

Experience

• -

Qualification

• reviously authorised by the MFSA to carry out this role through the submission of a Personal Questionnaire prior to appointment

Position level (1 being the highest level)

1. Head of Department
2. Managerial & Specialist Positions
3. Middle Management & Specialist Positions
4. Technical & Clerical Positions

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