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    Client Compliance and AML Officer, Permanent, Isle of Man

    PP10056
    Legal, Risk & Compliance
    Permanent
    Mid Senior Level

    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


     

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    Financial Crime Assurance Specialist, Permanent Job, Isle of Man

    PP10030
    Legal, Risk & Compliance
    Permanent
    Mid Senior Level

    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

    Business Compliance Officer , Permanent Job, Isle of Man

    PP9911
    Legal, Risk & Compliance
    Permanent
    Mid Senior Level

    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

    Senior Compliance Offer & Data Protection Officer, Permanent, Isle of Man

    PP9619
    Legal, Risk & Compliance
    Permanent
    Executive Appointments
    Senior Compliance Offer & Data Protection Officer required to join a global wealth management business, reporting into the Head of Compliance. Permanent position based in the Isle of Man providing input into the compliance strategy and execution of the Data Protection strategy across the region.

    The Role...
    Analyse and identify compliance risks, processes and controls and provide advice to
    Business Units
    Establish a compliance culture that contributes to the overall objective of prudent risk
    management by the Bank
    Contribute towards the delivery of the annual compliance plan, in partnership with the wider
    Compliance team
    Promote effective delivery and management of Compliance risk through embedment of the
    Compliance Framework across the IoM licenced entities
    Manage interaction with the IoM Regulatory Authorities
    Ensure that an effective compliance training plan is adopted and implemented
    Proactively identify, analyse and track changes to regulatory requirements to ensure that
    business can respond proactively to regulatory change
    Provide induction training to all new recruits and ongoing training on regulatory matters as
    required
    Ensure Compliance Manuals, Policies and Training Material are aligned with regulatory
    requirements in the IoM
    Understand the business and the financial regulatory environment to provide specialist
    advisory services to the business

    About you...
    Extensive experience in a senior compliance position
    Hold a relevant professional qualification
    Background in a similar regulated background within financial services
    Beneficial to have experience within international banking
    Valid and valuable experience of local and international regulations
    Excellent stakeholder management experience

    The Reward...
    Highly competitive salary
    Comprehensive benefits package

    Compliance Officer, Permanent, Isle of Man

    PP9891
    Legal, Risk & Compliance
    Permanent
    Mid Senior Level

    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
     

    Senior Compliance Consultant, Permanent, Isle of Man

    PP9853
    Legal, Risk & Compliance
    Permanent
    Executive Appointments

    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
     

    Family Advocate/Lawyer, Permanent Job, Isle of Man

    PP9490
    Legal, Risk & Compliance
    Permanent
    Executive Appointments
    A well-established, highly regarded and friendly law firm based in central Douglas are looking for a dedicated and qualified family advocate/lawyer to join their dynamic law practice.

    The Role
    You will perform a range of duties including but not limited to:
    Contact and residence orders
    Financial matters and maintenance
    Separation agreements and divorce
    Prenuptial agreements
    Parental responsibility
    Filing legal documents
    Attending court proceedings
    Participating in mediation sessions

    About You
    You will need:
    Proven experience dealing with a range of personal and family law matters
    Ideally you?£?d be a qualified Manx Advocate, but if not you?£?d still be required to pass the Manx Bar examinations and they would work with you to pass

    The Reward
    A competitive salary is available for the right candidate

    Operational Risk & Control Team Manager, Permanent Job, Isle of Man

    00010247
    Fiduciaries, Legal, Risk & Compliance
    Permanent
    Mid Senior Level
    Our client is seeking an Operational Risk and Control Team Manager to support the Client Services and other operational teams in managing risks effectively.

    The Role...

    Provide oversight and challenge to ensure that controls are being managed
    Improving the control environment and overall service to our clients and advisers including Anti-Money Laundering technical support, complaints handling and business retention
    Support the ongoing development and embedding of the business’ risk strategy
    Conduct Assurance Reviews, control testing, root cause analysis and other ad hoc investigations
    Provide specialist support in relation to Operational Risk policies, standards and processes
    Manage the operational risk register ensuring all open risks are identified, recorded and escalated appropriately
    Oversee completion of management and audit actions
    Provide people and performance management, development and coaching support
    Ensure delivery of the Operational Risk and Control team plan
    Deputise for the Head of Operational Risk and Control as required

    About you...

    Institute of Risk Management or International Compliance Association qualification
    Educated to degree level or equivalent experience
    Financial Services Industry, particularly operational / client service experience
    Experience of managing and leading diverse teams
    Experience of designing or operating operational risk management processes and procedures
    Experience of designing and producing management information and reporting
    Has awareness of all relevant regulatory bodies and associated principles.

    The Reward...

    Comprehensive benefit package
    Competitive salary

    Trust Officer, Permanent, Isle of Man

    PP9926
    Legal, Risk & Compliance
    Permanent
    Mid Senior Level
    Our client is seeking a permanent full time Trust Officer to provide and maintain a superior level of trust administration and service to advisers, settlors and beneficiaries of trusts administered by the business.

    The Role...
    Ability to vet new trust business applications
    Process annual reviews and highlight issues, and process any amendments to trust or client information
    Ability to vet and process investment switch requests
    Vet and process requests for distributions to beneficiaries and assignments and Requests for Payments
    Process invoices and trust company payments as required
    Fully competent in the trust review process, with the ability to vet/check the work of others, raise issues and offer solutions

    About you...
    Minimum of 2 years’ experience in Financial Services
    At least one year’s experience within a Life Company
    Good Knowledge of Microsoft Office Applications (Word, Excel, Outlook)
    Basic understanding of the taxation regime for offshore investment bonds and the UK IHT regime for the taxation of trusts
    Good understanding of the structure and administration of bonds and investment options
    Knowledge of the regulatory framework (AML/KYC)
    Ability to train/coach others
    Has obtained or is prepared to work towards a Professional Qualification for example, STEP, DipPFS, or equivalent

    The Reward...
    Competitive salary and benefits package

    Compliance Professional, Permanent Job, Isle of Man

    PP10235
    Legal, Risk & Compliance
    Permanent
    Mid Senior Level
    Experienced Compliance professional required – one day per week (flexible), Isle of Man

    Our client, an award winning financial advisory business, requires an experienced individual to undertake the following compliance activities on behalf of the business:

    Update procedures and processes as regulatory and industry requirements and guidance are issued
    Understand and follow regulations to ensure all processes and procedures comply
    Maintain corporate governance framework
    Oversight of all systems and procedures in place for quality of advice, T&C and compliance to ensure they are up to date with IOM FSA guidelines
    Submit IOM FSA Returns
    Check Recommendation Reports & AML Checks
    Maintain a good working relationship with the regulator
    ct as a member of any internal committees
    Maintain FSA Registers
    Manage any Complaints
    Support other areas of the business where needed

    To discuss, in confidence, please contact Lucie Dolman – lucie@paragon.co.im or speak with the Paragon Team on 665115.

    Bank Operations Change & Business Risk Manager, Permanent Job, Isle of Man

    PP10225
    Banking, Funds & Wealth Management, Legal, Risk & Compliance
    Permanent
    Executive Appointments
    We are looking for a Bank Operations Change & Business Risk Manager to join our client, and international bank on a permanent basis. The role holder will be responsible for defining and influencing the implementation of change projects to improve month end reporting and controls, amongst other tasks.

    The Role…

    Responsible for maintaining and enhancing the branch operating model to ensure the effective and efficient functioning of the business, you will:

    Promote the use of reports, analytics, trend analyses and insights through identifying and involving all relevant stakeholders across the business unit
    Provide support and act as first port of call for business unit executives on tactical projects and strategic reporting needs
    Engage with teams to obtain business intelligence and management information for the business area
    Ensure that the reports are prepared at the required frequency and distributed to decision makers
    Keep abreast of any new guidelines and legislation. Identify implications thereof for the business and document new processes as a result and advise the stakeholders

    About You…

    You will have experience in international banking or similar regulated environment, and:

    Previous project management experience would be advantageous
    Understanding of financial and global markets, investment banking, economic and market drivers, risk and regulatory environments
    Experience in providing enabling functions support to a business unit across multiple disciplines such as financial procurement, technology or project management
    Ability to analyse statistics and other data and create reports and presentations for use by others

    The Reward…

    You will receive:
    Central Douglas working environment, competitive salary & benefits package

    Compliance Assistant, Permanent, Isle of Man

    PP10219
    Legal, Risk & Compliance
    Permanent
    Entry Mid Level
    An expanding iGaming digital content creator, leading the way in game content are looking to bolster their current team with the appointment Compliance Assistant

    The Role...
    You will assist the compliance team with a variety of administration to help effective delivery of the clients content into current and new markets, wider responsibilities will include:
    Supporting the Compliance Team with any day to day tasks / projects
    Promoting and enhancing a strong companywide compliance culture
    Dealing with enquires both internally and externally

    About You...
    Applicants should have proven experience in a similar role is preferred and ideally the candidate will have experience in the same role within the iGaming industry alongside:
    Administration experience within a compliance role
    Understanding of the iGaming industry
    Excellent communication skills
    Strong IT skills and a good knowledge of Microsoft packages
    Strong attention to detail and organisational skills are essential

    The Reward...
    The successful applicant will receive:
    A competitive salary, excellent benefits package and scope to develop

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