We have a brilliant opportunity for an individual to join our client as a Compliance Executive. This role will assist the Head of Compliance with a range of tasks, ensuring that the company is compliant with legal and regulatory requirements.
The Role...
Core responsibilities including:
Updating and maintaining internal policies, procedures, and registers
Undertake screening and investigations via Riskscreen
Establishing and maintaining close working relationships with internal stakeholders to ensure a seamless client experience
About You...
You will need:
A suitable compliance qualification would be beneficial, but not required. The attitude and desire to succeed in a compliance role is essential.
An in-depth understanding of the regulatory environment with an understanding of AML and possibly legal positions, in multiple jurisdictions is desired
Excellent communication skills with the ability to liaise with stakeholders at all levels
The Reward...
Competitive salary with a benefits package including, healthcare, dental care, use of onsite swimming pool, sauna & gym and more!
We’re looking for a head of compliance to assist management and staff on compliance matters, to help ensure that the day to day administration is delivered effectively and efficiently in compliance with all rules and regulations.
The Role...
The role holder will design, deliver , maintain and complete a comprehensive monitoring plan and regular reports to the board of directors, and:
Work with the directors and senior management to ensure compliance with all applicable Isle of Man Laws, regulations, codes & guidance
Maintain and conduct an appropriate compliance monitoring programme in line with regulatory requirements
Ensure file reviews and audit checks are completed within service level agreements
Promote a positive compliance culture at all levels throughout the business, contribute to a programme of training and educational activities
About You...
You will have proven experience within a compliance function, and:
Holds a relevant compliance qualification i.e. ICA Diploma
Must have experience in working with a Class 3 license holder
Funds Experience or a good understanding of the Funds sector is considered essential
In depth knowledge of the collective investment schemes act 2008; the Isle of Man Rulebook; AML/CFT Handbook and AML/CFT Code
The Reward...
You’ll receive:
Competitive salary
Full time, permanent contract
Central Douglas working location
Compliance officer required on a permanent basis to join a global wealth management organisation , you will work closely with the compliance team to assist in a variety of administration and compliance tasks.
The Role...
Provide the group with an independent, objective compliance service as part of the group’s systems to ensure compliance with legal and regulatory obligation
Assist with production of information for compliance reports as required by the Compliance Manager
provide guidance on the proper application and implementation of relevant laws, regulations and internal procedures for junior member of the team
Advise the Compliance Manager of significant matters, concerns or breaches of laws or regulations
Complete timesheet and other administrative tasks, as appropriate and within set timescale
About you...
Compliance experience, especially in a TCSP, fund or professional services environment
Knowledge of internal processes and procedures
Experience in the business activities and operations
Good understanding and knowledge of Microsoft packages
The Reward...
Competitive salary and benefits package
We’re looking for a head of compliance to assist management and staff on compliance matters, to help ensure that the day to day administration is delivered effectively and efficiently in compliance with all rules and regulations.
The Role...
The role holder will design, deliver , maintain and complete a comprehensive monitoring plan and regular reports to the board of directors, and:
Work with the directors and senior management to ensure compliance with all applicable Isle of Man Laws, regulations, codes & guidance
Maintain and conduct an appropriate compliance monitoring programme in line with regulatory requirements
Ensure file reviews and audit checks are completed within service level agreements
Promote a positive compliance culture at all levels throughout the business, contribute to a programme of training and educational activities
About You...
You will have proven experience within a compliance function, and:
Holds a relevant compliance qualification i.e. ICA Diploma
Must have experience in working with a Class 3 license holder
Funds Experience or a good understanding of the Funds sector is considered essential
In depth knowledge of the collective investment schemes act 2008; the Isle of Man Rulebook; AML/CFT Handbook and AML/CFT Code
The Reward...
You’ll receive:
Competitive salary
Full time, permanent contract
Central Douglas working location
Compliance officer required on a permanent basis to join a global wealth management organisation , you will work closely with the compliance team to assist in a variety of administration and compliance tasks.
The Role...
Provide the group with an independent, objective compliance service as part of the group’s systems to ensure compliance with legal and regulatory obligation
Assist with production of information for compliance reports as required by the Compliance Manager
provide guidance on the proper application and implementation of relevant laws, regulations and internal procedures for junior member of the team
Advise the Compliance Manager of significant matters, concerns or breaches of laws or regulations
Complete timesheet and other administrative tasks, as appropriate and within set timescale
About you...
Compliance experience, especially in a TCSP, fund or professional services environment
Knowledge of internal processes and procedures
Experience in the business activities and operations
Good understanding and knowledge of Microsoft packages
The Reward...
Competitive salary and benefits package
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