Maria Attard

• Act as a point of contact to the Junior officer within the team where I delegate certain tasks and guide her in her day to day duties.
• Review and approve any Marketing material.
• Prepare reports which are presented to the Bank's Committee and Board meetings.
• Provide training on various Compliance related topics to the Business.
• Working on reports to be submitted to the relevant authorities.
• Conduct regular compliance reviews to assess internal processes and ensure alignment with regulatory requirements and internal policies.
• Stay current with evolving financial regulations and translate updates into actionable guidance for business units.
• Lead and contribute to gap analyses, identifying areas for improvement and supporting remediation efforts across the organization.
• Maintain and update key compliance registers, including breaches, conflicts of interest, insider and PDMR list and gifts logs.
• Draft, review, and revise compliance policies and procedures to reflect regulatory developments and best practices.
• Act as a primary contact for first-line teams, providing support on compliance-related queries.

• Spent the first year and a half as a Compliance Officer and got promoted in 2023 to a Senior Officer.
• Managed all aspects of compliance documentation such as reviewing policies and procedures,
• Provided training on Compliance matters to the First line of defence.
• Monitored industry developments to stay ahead of regulatory changes.
• Implemented effective compliance programmes for significant improvement in company practices.
• Kept up-to-date with latest regulations
• Maintained Insider lists, PDMR lists and other Compliance related registers.
• Prepared reports and aided the Head of Compliance in reporting which was presented to the Board.
• Conducted reconciliations on a weekly basis in relation to staff dealing and Market Abuse.
• Reviewed and approved Marketing Material

My main responsibilities as a Compliance Assistant were:

• Conducting Due Diligence checks at onboarding of new clients
• Conducting high risk reviews and EDD
• Reviewing KYC documentation and fill in AML questionnaires on behalf of our Clients.

• Managed financial records by organising and maintaining all accounting documents.
• Ensured accuracy in invoicing with data entry and review.
• Managed weekly Cash Reconciliations
• Reconciled bank statements monthly
• Assisted in payroll duties