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.
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.
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