Our client is looking for a Client Compliance and AML Officer who will be responsible for ensuring that the assigned portfolio of client entities has comprehensive and effective systems and controls in place.
The Role...
The successful candidate will be responsible for
Conducting ongoing monitoring of business relationships or one-off transactions in accordance with the Regulations
Conduct transaction monitoring reviews in relation to the fund
Present any updates or key findings to the Board/Fund controlling parties
Consider and make any Suspicious Transaction Reports
Develop AML and CFT Policies and Procedures
Develop and prepare AML Business Risk Assessments
Perform AML and CFT sample testing and AML assurance reviews
Serve as AMLCO, MLRO and DMLRO to the allocated client entities
About You...
Requirements for the roles are
Strong academic background and industry relevant professional qualification
A good level of commercial and fiduciary risk awareness
Sound working knowledge of statutory requirements and financial services legislation, together with relevant guidance notes and Codes of Practice
Good knowledge and application of relevant AML/CFT legislation, the AML/CFT Handbook and relevant guidance notes and codes of practice
Previously held CO / MLCO / MLRO positions would be an advantage
The Reward...
A competitive salary and benefits package will be offered to the successful candidate
A genuinely unique opportunity to be part of an expanding large global business
This is an exciting opportunity for an experienced Financial Crime Assurance Specialist to support the MLROs and the risk teams in the delivery of the regulatory requirements. You will provide credible challenge to identify, deter and report control deficiencies across financial crime processes, functions systems and controls.
The Role...
Independently assess the design and operational effectiveness of the assurance testing framework with a mandate to enhance adherence to Financial Crime laws and regulations, standards and guidance
Manage Financial Crime Assurance reviews, perform or validate substantive testing on the controls governing the following
Financial crime policies, standards and procedures
Anti-Bribery and Corruption controls
Sanctions systems, rules setting, fuzzy logic and alerts investigations controls in conjunction with MLROs
Transaction Monitoring systems and controls, rules, thresholds in conjunction with MLROs
About You...
A relevant professional qualification, for example, an ICA Diploma in Anti Money Laundering or equivalent
Experience in a Compliance and/or AML/ Fraud/ Financial Crime capacity in a regulated financial services business
Experience of working in and managing financial crime related projects
Knowledge of the UK, IOM and JSY AML framework
Understanding of the regulatory requirements and guidelines around core Financial Crime systems
The Reward...
Competitive salary
Comprehensive benefits package
We are looking for a business compliance officer to enable to execution of compliance risk management processes and activities within a specific business/functional area.
The Role...
The successful applicant will strive to influence a continual reduction in costs within the areas under control to ensure that service delivered remains cost effective and efficient, alongside:
Contributing to compliance reports
Inform business line heads, CoE heads, and other compliance heads about regulatory inspections and act as a conduit for any significant data requests
Keep abreast of any analyse regulatory and legislative developments, applicable across the business unit in order to deliver expert advice to relevant stakeholders
Maintain and align compliance policies and procedures to ensure it is appropriate for the unique regulatory requirements of a functional area
Provide advice to management, employees and relevant committees
About You...
You will have previous experience within a similar role, alongside:
Hold regulatory qualification as required by the role (i.e STRATE Compliance Officer, JSE compliance officer)
Understanding of compliance procedures and relevant laws
Ability to communicate effectively
Time management and organisation skills
The Reward...
You will be joining on a permanent basis and will receive:
Full time, core business hours
Central Douglas working location
Competitive salary
We are recruiting for a Compliance Officer to join the captives team of a specialist investment management firm on a permanent basis. The role holder will provide a compliance function that effectively supports the business area in their duty to comply with relevant laws, regulations and internal procedures.
The Role...
In this role you will ensure that compliance governance and controls reflect industry practice, regulatory requirements and internal practices, alongside
Provide an advisory and consultative service to the captive team, assisting them to comply with statutory, regulatory and supervisory requirements, including anti money laundering requirements
Maintain and monitor relevant updates on the screening programme for sanctions, PEPs and adverse media
Proactively keep up to date with the regulatory environment and the delivery of regulatory change impacting the captive business and report where applicable
Prepare and deliver compliance reports to senior management and the board
Provide support as required on customer due diligence requirements and maintenance of client's regulatory obligations
About You...
A professional qualification from the ICA or similar would be advantageous, alongside
Proven experience in a compliance role within an insurance setting, preferably with exposure to captives
A full working knowledge of the regulatory framework in the IOM in relation to the insurance non life sector specific to captive insurance
MLRO/DMLRO experience would be advantageous
Experience in relation to compliance monitoring programmes
The Reward...
The successful candidate will be based in central Douglas and will receive
Competitive salary
Comprehensive benefits
Permanent contract
We are recruiting for a senior compliance consultant on behalf of a global trust, eGaming and corporate service provider.
The Role...
You will work closely with the consultancy and managed services environment with a portfolio of gaming clients to provide support and guidance on a variety of licensing, regulatory, training and compliance matters. You will ideally have knowledge of gaming from an online environment and have experience of knowledge of B2C environments working for an operator and acted in a senior compliance function with AML experience. Within this role you will also have the opportunity to
Support management in the execution of the business plan and develop operations through working with the departments on various projects relating to licensing, compliance, regulatory affairs and provide advice and guidance to the MLROs
Support compliance teams in drafting and updating relevant documents and policies in area of AML/RG as well as other compliance areas
Actively keep up to date with compliance developments and share knowledge across relevant internal stakeholders to help transcribe the complex regulatory requirements and risks into addressable action plans
Assist in developing a compliance governance structure across the department
About You...
You will be an organised individual with experience of working in a regulated gambling environment, with experience in compliance in gaming or similar client-facing role ideally within the UK gambling regime. You will
Be able to work on own initiative and are not adverse to taking decisions
Have excellent written and verbal communication skills
Excellent technical knowledge and strong commercial approach
Proven experience in a relevant compliance/legal environment (preferably in different compliance areas such as AML, Data Privacy, Anti Corruption/Bribery etc.)
Hold a PML or key person role for compliance with either the MGA or GC
The Reward...
In addition to a competitive salary, you will be rewarded with
A performance driven bonus
Comprehensive flexible benefits package
Training opportunities
Central Douglas offices
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