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Senior Administrator – Compliance and Risk (O910820)

Douglas, Isle of Man

Compliance & Legal

£25,000-£30,000 per annum

Full time / Permanent

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Job description

Overview

Our leading Douglas-based CSP & Investment Management firm area are looking for a motivated Senior Administrator seeking a new challenge to join the Compliance team and provide day to day compliance administration support to the Client Services and Fund teams, including CDD reviews.

Role Profile

  • Assist client facing teams in determining CDD requirements and reviewing CDD
  • Refer non-standard CDD issues to the Compliance Manager for review
  • Undertake client file reviews to ensure compliance with requirements
  • Assist with preparation of regulatory returns
  • Assist with reviewing new advertising/promotional material for adherence to applicable regulations
  • Assist with reviewing Fund Governance, Scheme Particulars / Offering Documents for adherence to applicable regulations
  • Assist with Intermediary/Fund broker appointment process and review ongoing Intermediary/broker arrangements
  • Help promote an effective Compliance and Risk Awareness culture

Person Profile

  • Ability to produce quality work to strict deadlines
  • Technical knowledge of fiduciary structures
  • Technical knowledge of Funds
  • Demonstrable robust communication skills
  • Experience of fiduciary and funds service operations
  • Experience of compliance, risk and/or internal audit operations
  • Understanding of regulatory regimes
  • Educated to Degree level
  • Current experience of working in a similar regulatory environment
  • Accurately complete administrative and technical work
  • Self-motivated with a structured approach to work
  • Identify and analyse problems by interpreting data available
  • A team player with ability to communicate with all levels
  • Already hold or be working towards a relevant qualification, i.e. ICA, Governance, Compliance qualification - Desirable
  • Language skills in French or Italian would be an advantage - Desirable

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