Compliance Senior Manager

1 month ago


Douglas Isle of Man, United Kingdom CV-Library Full time

Our leading Douglas-based CSP & Investment Management firm area are looking for a motivated Compliance Senior Manager / Head of Compliance to join the team.

As Compliance Senior Manager / Head of Compliance you will be responsible for:

* Compliance Officer and MLRO/DMLRO

* Primary point of contact with the Isle of Man Financial Services Authority

* Review, advise on and implement applicable legislation and regulations

* Manage the compliance monitoring programme to assess adherence with regulations

* Undertake internal audit reviews to test validity and robustness of internal controls

* Review advertisements and other promotional content

* Review collective investment scheme documentation for adherence to applicable regulations

* Ensure policies and procedures are up-to-date and meet company and regulatory needs

* Oversee risk management for the business

* Advise on the impact of new processes, products and practices upon the risk environment

* Review and manage the company's risk policies and risk register

* Monitor controls in place to manage and mitigate identified risks

* Promote an effective compliance and risk awareness culture

* Develop effective relationships with directors and staff as well as third parties and professional intermediaries as required

* Deliver anti-money laundering training to staff

* Management of a small team, including training and mentoring

The ideal candidate for the role of Compliance Senior Manager / Head of Compliance will have:

* Excellent knowledge of fiduciary and funds service operations

* Extensive compliance, risk and/or audit experience

* Previous experience as an MLRO or Deputy MLRO would be an advantage

* Minimum of five years' experience

* Relevant professional qualification, i.e. ICA

* Have held a similar approved Controlled Function status

* Experience in the management, development and implementation of policies and procedures

* Strong communicator with good interpersonal skills

* Proven management ability

* Ability to work independently and detail oriented

* Proactive approach to planning and organising tasks



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