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Head of Compliance (O911505)

Douglas, Isle of Man

Compliance & Legal

Salary DOE plus benefits 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 Head of Compliance for their Fund Services division.

Role Profile

  • Work with the Directors and Senior Management to ensure that the Fund Services division comply with all applicable Isle of Man laws, regulations, codes and guidance
  • Facilitate and minute Executive and Risk Committee ('ERC') meetings. Responsible for reviewing the risk management and compliance of the business
  • KYC/Customer Due Diligence ('CDD') analysis, advice and support to operational team
  • Drafting and updating compliance procedures
  • Maintain and conduct an appropriate Compliance Monitoring Programme ('CMP') in line with Regulatory requirements
  • Oversee the maintenance of a variety of standard compliance registers
  • Act as point of contact for the Regulator
  • Provision of timely and accurate reports to the Board
  • Ensure file reviews and audit checks are completed within service level agreements
  • Promote a positive compliance culture at all levels throughout the business, contribute to a programme of training and educational activities
  • Ensure own knowledge of compliance is up to date with recent developments and changes to legislation is maintained
  • Maintain personal CPD requirements in line with Regulatory and Professional Body requirements

Person Profile

  • A minimum of 5 years' experience within a compliance function
  • Holds a relevant compliance qualification, i.e. ICA Diploma
  • In-depth knowledge of the Collective Investment Schemes Act 2008; the Isle of Man Rulebook; AML/CFT Handbook and AML/CFT Code
  • A good broad knowledge of the regulatory environment with a good understanding of Funds, functionaries and the regulatory and statutory requirements associated with them
  • Clear and accurate communication skills, both orally and written
  • A competent user of Microsoft office suite packages
  • Constructive negotiating skills
  • An enquiring and analytical mind with good investigative skills
  • Strong interpersonal skills
  • Works well alone and as part of a team
  • Experience of working collaboratively with an international Group function is desirable
  • Pragmatic, approachable and independent; demonstrates determination where necessary
  • Ability to work under pressure, prioritise workload and plan to achieve deadlines

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