Head of Regulatory Compliance

2 weeks ago

Isle Of Man, United Kingdom IQ-EQ Full time

Company Description

IQ EQ is part of a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.

**Job Description**:
**Responsibilities**
- To deliver the agreed strategy targets within the Regulatory Compliance function, through effective leadership, motivation and development of our people.
- To support Board to enhance Risk Culture across the business
- To act as ‘Head of Compliance’, in the R13 Controlled Function, supporting the broader Risk and Compliance function in fulfilling its responsibilities by providing a monitoring and reporting framework to enable the effective management regulatory compliance risk
- To work with the senior management team to support all risk management activities, with a focus on Regulatory Compliance
- Ensure that an awareness of the Regulatory environment is embedded in the culture, operations and systems used by all employees, driving and exemplifying adherence to agreed policies, procedures and applicable regulation
- Act as a role model to implement a culture which supports the IQ-EQ Values and ensure engagement of all IQ-EQ staff to deliver excellent client service, operational effectiveness and efficiencies

**Tasks**:

- Actively lead and perform in line with both local and Group initiatives
- Proactively participate in the promotion of a constructive "pro-compliance" culture at both local and Group level
- Build and maintain effective relationships with stakeholders, regulatory bodies and other professional intermediaries and contacts to ensure that IQ-EQ staff understand and are able to respond appropriately to developments as they arise
- Act as the primary contact for the business in its relationship with the Financial Services Authority
- Identify and develop talent specifically within the Regulatory Compliance team but also looking more broadly at the wider Risk and Compliance Function, ensuring succession plans are in place to develop capability for immediate business needs and future growth needs, eliminating the risks of key man dependencies, whilst motivating and mobilising top talent across the Group for immediate and future roles
- A key member of the jurisdictions management team, add value to jurisdictional strategy and delivery through a sound understanding of the other teams and functions
- Act as a role model through effective, positive leadership behaviours to engender an environment of teamwork and collaboration, across the functions and across all jurisdictions, demonstrating drive, passion, positivity towards change, teamwork, and a clear focus and commitment in driving and achieving the Group’s vision and strategic goals
- Lead team on a day-to-day basis to ensure achievement of business goals, closely monitoring workloads, tasks, delivery and deadlines
- Pro-actively manage own development, encompassing both technical and leadership requirements to a level appropriate to role that supports the IQ-EQ Values
- Identify and implement improvements to service delivery where agreed
- Motivate all IQ-EQ staff and ensure they are fully aware of IQ-EQ’s strategic objectives and have in place their own personal objectives which are aligned to ensure successful achievement and delivery of goals
- Implement plans that integrate new recruits into the team, ensuring a consistent standard of operational processes, risk, compliance and cost management are embedded
- Support the function to deliver processes and procedures to ensure compliance with applicable laws, service standards, company policies and procedures and agreed operational and control processes
- Use judgement to bring to the attention of management any issues which you feel appropriate, in particular ensuring that concerns and identified risks are reported in a timely and effective manner
- Ensure adequate resources are allocated to support the Group or Regional initiatives, ongoing reporting and BAU activities. Assign clear responsibilities and accountabilities for the Identification and escalation of risk issues
- Ensure that relevant and appropriate risk management processes are embedded in the culture, operations and systems used by all IQ-EQ staff members, driving and exemplifying adherence to agreed policies, procedures and applicable regulation.
- Maintain up-to-date information on developments in the regulatory environment that affect the business and ensure compliance at all times, dispersed through appropriate communication channels

**Qualifications**:
**Required Experience**
- Extensive knowledge and experience of offshore financial services, and the Isle of Man regulatory environment
- Excellent leadership and management skills
- Membership of relevant Financial Institute
- Evidence of Continued Professional Development
- Awareness and understanding of cross jurisdictional cultural differences
- Corporate Governanc

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