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Overview

Our Client is a well established Douglas-based organisation that offers a comprehensive suite of accountancy and wealth management services.

They now require an experienced Compliance Manager to join and report directly to the board.

Role Profile

In this role you will be Compliance Officer, MLRO and Data Protection Officer, reporting directly to the Board of Directors for the Pension company within the Group and responsible for providing regulatory compliance assistance, advice and support primarily to this company but also within the wider Group as part of the central group compliance team.

Duties will include but are not limited to:

• Provide ongoing advice and support on regulatory compliance matters
• Identify and implement developments to the business compliance framework
• Support the maintenance of the risk management framework for the business
• Identify new or changed compliance risks
• Support the development, delivery and reporting of the compliance monitoring programme
• Coordinate the delivery of regulatory change initiatives or projects impacting the businesses
• Provide anti-money laundering, terrorist financing, sanctions, bribery, facilitation of tax evasion, data protection advice and support to the business
• Ensure regulatory and professional body correspondence, notifications and annual returns are responded to and handled appropriately and promptly
• Maintain the Compliance Manuals, policies and associated documentation, and appropriate regulatory registers
• Prepare monthly compliance board reports
• Oversight of new business and periodic client reviews to ensure they meet internal standards and regulatory requirements
• Approve advertising, marketing material and other external facing documents
• Assist with collation of information for external banking reviews
• Prepare and deliver regulatory training
• Ensure knowledge of compliance regulation is always up-to-date with recent developments and changes to legislation

Candidate Profile

• 5 GCSEs or equivalent at grade C or above
• Diploma in Compliance and AML/CFT is desirable but not essential as previous experience in the role is key
• Demonstrate experience working within the requirements of the Financial Services Rule Book and the AML/CFT Code, with at least 5 years' experience in a similar compliance role
• A working knowledge of CCH, Laserfiche and ViewPoint would be an advantage but not essential
• Attention to detail and accuracy
• Able to work under pressure and to strict deadlines
• Strong communication skills
• Able to work on own initiative & with minimal supervision
• Organisational skills & ability to prioritise