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Job Purpose:
Risk Manager required to join an expanding international Financial Services Group, to provide support and direct the business in carrying out the Group Risk & Control Framework. Reporting into the Head of Compliance & Risk and working with the Risk Analyst this is a relatively new positon that can provide an opportunity for future growth.

Key Responsibilities:
Develop, coordinate and maintain policies and procedures to monitor and support the Group Risk and Control Framework providing relevant advice, training and guidance where required.
Embed and promote the Group Risk & Control Framework to drive an open and honest risk culture and provide support in developing SMART key risk indicators.
Provide technical assistance in relation to the delivery of the Group Risk & Control Framework and related regulation, legislation, and the collation, analyses and reporting of key risk MI.
Maintain the Group Risk Register and support the business in identifying, assessing and describing risks and controls.
Conduct independent research to contribute to the proactive detection of emerging risk themes and share relevant industry news with the management teams.
Prepare and deliver adequate risk reporting for the Group Board on any issues or significant risks that require attention.
Challenge, oversee and advise on the effectiveness of operational risk decisions and practices.

Skills & Experience:
A minimum of 5 years' experience working in a risk or compliance role within the finance sector.
Completed or working towards relevant qualification such as International Diploma in Enterprise Risk Management, ICA Diploma in Governance, Risk and Compliance
Strong knowledge of the finance sector and associated risks.
Good communication skills, ability to influence and negotiate and confidence to challenge.

Hours & Benefits:
Market rate salary and comprehensive benefits.

Job Purpose:
An experienced Compliance professional is sought by an established team of an International Bank. The role requires the provision of administrative and technical support to the Compliance team and assisting the Compliance management team.

Key Responsibilities:
Compliance Monitoring, including scoping, testing and compilation of reports. Administrative and technical support to the Compliance Team, developing Compliance Risk Management plans and keeping abreast of regulatory requirements Assisting the Compliance Management team with compliance databases, manuals, standards, policies, procedures and training; maintaining registers, documents and records Providing advice to management, relevant committees and the embedded business risk management function and employees, in order to effectively manage compliance issues.

Skills & Experience:
Either already holding an ICA Diploma, CAMS or CISI qualification, or working towards completion Ideally around 3 years experience in Compliance work within Financial Services, or potentially a Graduate with at least one year's experience within Compliance and Financial Services Previous experience of banking products and activities, and associated regulatory frameworks, would be advantageous.

Hours & Benefits:
Full time, competitive salary and benefits package.

Job Purpose:
Compliance Technician required to assist the Business Risk Supervisor and Manager of a global life organisation to ensure that IOM companies develop, implement and maintain regulatory compliance.

Key Responsibilities:
Act as a Monitoring Officer, writing monitoring reports and add value to the business, by identifying areas of regulatory weakness or where procedures can be improved.
Maintain a database of any non -compliant items, including action plans and timescales for the rectification of such items, and regularly monitor progress through to correction.
Investigate staff AML disclosures and fraud cases for the MLRO or DMLRO to review; prepare sign off forms & disclosure documents. Assist the MLRO & DMLRO in maintaining good working relations with the FIU.
Maintain a list of Sanctions and Terrorist listings and run on a weekly basis the client-matching program Climate.
Support the business so that there are no Sanctions breaches by ensuring that the appropriate level of understanding is held.
Draft new regulatory guidelines for departments to follow, and assist with the implementation of new regulatory requirements.
Act as a point of reference for regulatory queries from within the Company and from external sources.

Skills & Experience:
A minimum of 3 years experienced in a compliance /AML/KYC position.
Previous background in FSA and FCA regulations.
A professional Compliance qualification/ Diploma.
Ability to look for process improvements and work on own initiative.

Hours & Benefits:
Business hours.
Market rate salary and company benefits.

Job Purpose:
Group Compliance Manager required to join a Wealth Management Business to lead and manage the compliance function. This includes; oversight of compliance with operational procedures of the Group, ensuring that all regulatory, compliance and anti-money laundering guidelines are followed and drafting and implementing appropriate compliance Policies & Procedures.

Key Responsibilities:
Review internal reviews or audits to ensure that compliance procedures are followed and conduct or direct the internal investigation of compliance issues where appropriate.
Assess product, compliance, operational risks and develop risk management strategies.
Disseminate written policies and procedures related to compliance activities and/or a change in relevant legislation or regulatory guidance.
File appropriate compliance reports with regulatory agencies, this includes annual returns, update notifications as well as reporting violations of compliance or regulatory standards.
Discuss emerging compliance issues with management or employees and provide comprehensive written compliance and risk reports to the Board on a quarterly basis or more frequently if required.
Review communications such as sales advertising to ensure there are no violations of standards or regulations.
Provide employee training on compliance related topics, policies, or procedures.
Provide assistance to internal or external auditors in compliance reviews.
Design and implement improvements in communication, monitoring and enforcement of compliance standards.
Advise the board of relevant regulatory and legislative changes and make recommendations on how changes can be managed within the business.

Skills & Experience:
Minimum of 5 years experience in a similar senior compliance role.
Hold related compliance/risk/AML related qualifications.
Good understanding of Isle of Man regulatory and compliance legislation.
Previous experience as a Money Laundering Reporting Officer.
Good understanding of fund and investment management, insurance and pension legislation.

Hours & Benefits:
Competitive salary and company benefits and business hours.

Job Purpose:
Compliance professional required to join an international life company on the Isle of Man in a permanent positon as a Compliance Advisor. Working within the compliance function the role involves implementation of the compliance programs with responsibility for all aspects of regulatory change, associated analysis and implementation.

Key Responsibilities:
Support the implementation and delivery of the compliance plans.
Keep track of industry regulatory developments and assist in the analysis of laws and trends impacting the compliance risk environment and assess impact on organisational operations.
Advise and support first line of defence with the adoption or as appropriate, development, implementation and maintenance of compliance policies.
Proactively working to support business initiatives and projects.
Provide support to draft reports to executive management.
Provide support to establish, enhance and implement relevant compliance policies and procedures.

Skills & Experience:
Experience compliance professional with over 5 years within a regulated financial services environment.
Have excellent working knowledge of IOM regulations (FSA) including experience of Conduct of Business and Anti Money Laundering regulations.
Have excellent verbal and written communications skills and an ability to communicate effectively with internal and external contacts at all levels.
Have a good understanding of offshore financial services products.
Experience in undertaking gap analysis for regulatory change.

Hours & Benefits:
Competitive salary and comprehensive benefits.

Job Purpose:
Senior Group Risk Manager required to join a global wealth management company, to be responsible for the provision of risk support and guidance to the Managers and Directors across the Group.

Key Responsibilities:
Actively lead and manage the Group Risk team to ensure quality of service and achievement of goals.
Conduct risk reviews and monitor procedures to ensure satisfactory performance and compliance within the existing Risk Management Framework.
Develop risk related policies, procedures and systems at Group level and monitor and support their implementation at unit level where appropriate, providing relevant advice and guidance where required.
Work collaboratively with Business Units to understand any issues identified through risk monitoring, developing awareness of actions to improve control weaknesses.
Provide effective support to the Management Committee, the Group Board and the Group Risk and Compliance Committee.
Develop strong working relationships, internally and externally, as required
Lead the delivery of up-to-date reports and management information on risk trends in each jurisdiction and proactively alert Group Risk Directors on any issues or potential risks.

Skills & Experience:
Extensive experience in risk/ audit is essential.
Should have a detailed understanding and experience of risk identification and mitigation.
Experienced in the management, development and implementation of policies and procedures.
Minimum of three years' experience at a senior level, to include staff management.
Ideally excellent knowledge of fiduciary services operations, although financial services. operations within Banking or Insurance can also be considered.
Relevant degree level or equivalent relevant professional qualification.
Proactive approach to planning and organising tasks.

Hours & Benefits:
Excellent benefits package and competitive salary.

Job Purpose:
A Compliance specialist is sought by a leading Douglas-based Payroll and Contractor Services company. The role holder will become Deputy MLRO for the organisation and be responsible for the day-to-day compliance administration for a number of group companies, working closely with and providing assistance to the Compliance Manager/MLRO.

Key Responsibilities:
Day to day compliance Administration including assistance with AML/CFT administration.
Reviewing of Customer Due Diligence & Enhanced Due Diligence.
Signing off new applications, undertaking ongoing monitoring and preparing monthly reports.
Assisting with delivery of AML/CFT training.
Providing cover for the Compliance Manager/MLRO during their absence.

Skills & Experience:
A number of years Compliance experience.
Ideally the holder of a professional Compliance qualification, or working towards this, but significant experience in a similar work will also be considered.
Good understanding of current AML/CFT legislation and regulation.
Excellent verbal and written communication skills and a positive approach.
Experienced in working to tight deadlines and working as part of a team.

Hours & Benefits:
Salary dependent on relevant skills and experience; company benefits; full-time business hours based on a 37.5 hour working week.

Job Purpose:
Compliance Assistant required to join general accountancy practice and busy Trust & Corporate Service provider.

Key Responsibilities:
Ensure the information held on each client complies with procedures and regulatory requirements, performing regular compliance reviews and including the monitoring of high risk clients.
Assist the MLRO and Compliance Officer in implement FATCA reporting.
Assist the Compliance Officer in all matters relating to Data Protection.

Skills & Experience:
Educated to degree level, preferably with a business related degree, or have strong 'A' levels with previous experience in compliance in a regulated entity.
Excellent communication skills.
Ability to work under pressure maintaining the highest levels of accuracy.

Hours & Benefits:
Douglas based employer, working business hours.

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