Senior Compliance Specialist
24 hours ago
**Senior Compliance Specialist**:
We are looking for a senior compliance professional who can bring expertise of the financial services and regulatory knowledge to an exciting team. This is the perfect role for someone looking to take on a new challenge.
Working in the Isle of Man (‘IOM’) Compliance Team, the jobholder will assist the jurisdictional Heads of Compliance and the IOM Compliance team to ensure that Nedbank Private Wealth Limited (‘NPWL’) adheres to all IOM, banking and investment business legislation and associated regulations. The jobholder will be expected to work closely with the compliance personnel across the jurisdictions and also with the wider business on various projects and working groups.
**Who are we?**
Nedbank Private Wealth is a multi-award-winning private bank and wealth manager headquartered in the Isle of Man, with branches in London, Jersey and a representative office in the UAE. The company provides a full international wealth management offering through its wealth planning, investment management, and banking services to both business and private clients worldwide.
At Nedbank Private Wealth, we value the 6Cs, which are the behaviours we encourage in all of our employees: Collaboration, Curiosity, Courage, Client Impact, Can Do Attitude and Completeness.
**Role specific details**
- Business Support - Act as point of referral for IOM Compliance matters including collaboration efforts where required and establish and maintain working relationships with relevant stakeholders within the business.
- Legislation and Regulation - Keep abreast of and implement relevant changes in Isle of Man compliance regulation and laws.
- Compliance Policies & Procedures - Assist the Head of Compliance, Isle of Man to ensure that IOM compliance policies and procedures are written, approved, maintained and embedded in the business in liaison with the equivalent Senior Compliance personnel across the other jurisdictions.
- Marketing - Assist in the review and approval of relevant IOM marketing items.
- Abide by the IOM regulations, industry best practice and the principles of treating customers fairly.
- Use of 3rd party software to check against Sanctions for persons and or entities.
- Assistance with the maintenance of relevant regulatory registers as required.
- Transaction Monitoring - Assist the Compliance function in the review and maintenance of AML/CFT related transactional monitoring reports in conjunction with Compliance personnel across the jurisdictions, as required.
- Assist in the maintenance of internal control systems by assisting in the update to monitoring frameworks.
- Review existing processes and documentation to ensure that it meets all applicable legal, regulatory, procedural and process requirements and suggest and share updates as required with the relevant Senior Compliance personnel
- Make capable and effective decisions and escalate problems within reporting lines
- Communicate with Relationship Managers, Private bankers and any other relevant internal/external parties, business areas in the course of business.
- Undertake other Compliance administration tasks and provide cover as required for other Compliance staff where needed
- Assist in ad hoc operational project work as assigned, to support and promote future business development from a compliance perspective.
***
**Technical Skills and Experience**
- A strong working knowledge and understanding of Isle of Man banking and investment business regulations.
- At minimum of 5 years’ experience in a financial services environment
- Experience in Compliance requirements, including but not limited to, CDD / EDD for high net worth individuals and more complex financial structures such as trusts, corporate and foundations across multiple jurisdictions worldwide including emerging markets.
- Experienced in risk classification processes and in identifying and handling risk related information and documentation
- An understanding of the regulatory framework in IOM, JSY and UK
- Knowledge of IOM, JSY and UK AML / CDD procedures
- Knowledge of Operations, Trust, Company and / or banking administration activities, both technical and operational, within the Corporate and Private Client wealth management industry
**Behavioural competencies and soft skills**
- Excellent interpersonal skills with the ability to develop strong relationships within the business
- Confident decision maker with the ability to influence and negotiate effectively
- Ability to work well as part of an established Compliance function
- Pragmatic with a considered and systematic approach to the delivery of objectives
- Independent with the ability to work with minimum supervision and meet deadlines with a high degree of accuracy
- Strong analytical and problem solving skills
- Displays a genuine passion for compliance and a commitment to both personal development and the development of the business
- Adaptable and flexible in order to cope with
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