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Funds Compliance Manager (O911035)


Accounting & Finance

Salary DOE - excellent package

Full time / Permanent

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Job description


Our Client is an internationally respected Corporate and Fiduciary services, Fund Administration and Capital Markets business, with offices across multiple jurisdictions and territories who are currently seeking an experienced Funds Compliance Manager to assist both the management and staff on Compliance matters, to help ensure that the day to day administration is delivered efficiently and effectively, in Compliance with all rules and regulations applicable.

Role Profile

  • Ensure the business complies with all relevant laws, regulations, guidelines and codes of Isle of Man legislation
  • Host and record Executive and Risk Committee meetings, responsible for reviewing business development, strategy, operations, risk management and compliance of the business
  • KYC/Customer Due Diligence (CDD) analysis, advice and support to operational team
  • Drafting and updating compliance procedures
  • Ensure systems are in place for compliance monitoring
  • Oversee the maintenance of a variety of standard compliance registers
  • Liaise with the regulator when necessary
  • Provision of timely and accurate reports to senior management on relevant matters
  • Ensure file reviews and audit checks are completed within service level agreements
  • Promoting a positive compliance culture at all levels throughout the business, contribute to a programme of training and educational activities
  • Ensure knowledge of compliance is up-to-date with recent developments and changes to legislation so as to provide a first class advisory service to the business
  • Attend relevant seminars and conferences in order to adhere to CPD requirements

Person Profile

  • A minimum of 2 years' experience within a compliance function
  • Hold a relevant compliance qualification, i.e. ICA Diploma
  • In-depth knowledge of funds gained with a Class 3 Isle of Man licence holder and a good broad knowledge of the regulatory environment with an understanding of trust/company business, functionaries and their regulatory and statutory requirements
  • Clear and accurate communication skills, both orally and written
  • A competent user of Microsoft packages
  • Constructive negotiating skills
  • An enquiring and analytical mind with good investigative skills
  • Strong personal skills
  • Works well individually and as part of a small team
  • Experience of working collaboratively with a Group function desirable
  • Pragmatic, approachable and independent; able to apply tenacity where necessary
  • Ability to work under pressure, prioritise workload and plan ahead to achieve deadlines

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