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Compliance Officer (O911044)

Douglas, Isle of Man

Compliance & Legal

Salary dependant on experience

Full time / Permanent

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Job description


Our Client is a well established Douglas-based financial services company that offers a comprehensive suite of accountancy and wealth management services to enable clients to grow, manage and preserve all facets of their financial affairs through cross-boarder resources and expertise-led solutions. They are now seeking a Compliance Officer to support the businesses and directors in the ongoing development of their compliance framework and associated reporting.

Role Profile

  • Assist the Head of Compliance who is responsible for providing regulatory compliance assistance, advice and support to all parts of the Group, which includes a Trust and Corporate Service Provider, Pension company, Accountancy, Audit and Advisory companies along with a Payroll company
  • Ensuring that regulatory requests, reports and other official communications are responded to and handled appropriately and promptly
  • Providing ongoing advice and support to the Group on regulatory compliance matters
  • Preparation of regulatory reports such as Annual Regulatory Return, Statistical Returns and Client Asset Report
  • Developing and delivering a new compliance monitoring programme
  • Assisting with the maintenance of regulatory registers
  • Monitoring and reporting changes to the compliance environment
  • Supporting the maintenance of the risk management framework for the business
  • Preparing business risk assessments
  • Preparation of monthly compliance reports to the Board
  • Maintaining Compliance Manuals, policies and associated documentation
  • Maintenance of the online portal for Designated Businesses
  • Providing cover to the Compliance Assistant to ensure new business and client due diligence meets internal standards and regulatory requirements, including giving advice to the administration teams
  • Providing proactive support in the identification and implementation of developments to the business compliance framework
  • Identifying new or changed compliance risks
  • Coordinating the delivery of regulatory change initiatives impacting the businesses
  • Contributing to the preparation, development and delivery of regulatory training
  • Assist with and prepare for regulatory or oversight visits and external audits
  • Ensuring compliance knowledge is always kept up-to-date with recent developments, such as: Financial Services Act, AML/CFT Code, Data Protection Act, Designated Business Act, Bribery Act, etc

Person Profile

  • Experience working within the requirements of the Financial Services Rule Book and the AML/CFT Code, with at least 5 years' experience
  • Attention to detail
  • Excellent interaction andcommunication skills
  • Able to work on their own initiative
  • Able to work under pressure and to strict deadlines
  • Able to prioritise work and proactive
  • Excellent organisational skills
  • Discretion
  • Enthusiastic, personable, reliable, conscientiousand a team player
  • 5 GCSEs or equivalent at grade C or above
  • Certificate or Diploma in Compliance is desirable but not essential as previous experience in the role is key

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