Senior Compliance

Compliance and Regulatory Manager (MLRO)| Financial Services | Gibraltar | Excellent Salary plus Benefits Package

Whats On Offer:

- Above Market basic salary
- Extensive Benefits package

**Responsibilities**:

- Be the contact point for GFSC and liaise with the regulators for all related matters
- Preparation and submission of regulatory reports
- Preparation of Compliance Monitoring Plan annually and undertaking Compliance Monitoring reviews, which necessarily includes the monitoring of operations, trading and best execution
- Maintenance and periodic review of the Company's Compliance Manual; Data Protection Manual; AML/CFT/SAR policies; and Client Risk Profile & Suitability Manual;
- Review and sign-off of Financial Promotions
- Creating staff awareness regarding the compliance manual and policies and providing regular training
- Be responsible for the implementation and governance of the Compliance policies and procedures approved by the Board on an annual basis
- Perform reviews and undertake due diligence on Service Providers' policies and procedures
- Conduct internal monitoring of regulated Funds activities such as Fund Administration, Shareholder Services and Fund Accounting
- Conduct internal reviews and investigations of breaches and compliance issues
- Provide regulatory support to the business regarding product implementation, revision and submission

**Profile**:

- Previous compliance experience working for an established Fund
- Professional competence to deal confidently with regulators and senior management
- University Degree or professional qualification (ICSA Diploma level 4, IFA 5 or 5 or equivalent)
- Knowledge of AIFIMD Risk Management requirements and processes
- Previous experience performing due diligence of investment advisers is a plus
- Experience in internal audit at financial services firms a plus if in combination with above compliance experience
- Strong knowledge of international (i.e. PRA, FCA, SEC, EU) regulation of investment advisers and investment companies with strong understanding of funds
- Excellent written, oral and presentation skills required
- Resident of Gibraltar or in close proximity in Spain

To Apply

Senior Compliance and Regulatory Manager | Gibraltar | AIFIMD |Risk Management |MLRO | Compliance Monitoring