Fulfilling the role of a compliance officer in Maltese listed financial institutions : a qualitative approach

Abstract

This dissertation analyses the job of a compliance officer from his/her own point of view and how does he/she fulfils his/her duties when it comes to combating fraud in Maltese listed financial institutions. It examines the positive aspects as well as the challenges faced by compliance officers when dealing with fraud in Malta. The qualitative characteristics, an ideal compliance officer should possess as well as the behavioural implications this job leaves on their person are also depicted. This paper also delves deeper into what are the driving forces of a compliance officer while fulfilling his/her duties. The purpose of this dissertation is to analyse the importance and the present conditions of the career of a compliance officer as well as providing recommendations on how the authorities may facilitate their jobs.