Responsible for statutory compliance, regulatory returns, AML/CFT programmes and financial crime risk oversight for a regulated financial services firm.
Are you in a number 2 or sat in a Deputy compliance role that is ready and hungry for that next step up with full support and guidance? If so, we have just the role for you! We have a client with two part-time compliance professionals that are looking to retire and they are replacing with a full-time person. (Some flexibility on this e.g. 4 days per week or slightly reduced hours). The current incumbents will be kept on for a period of time so support to expand your knowledge in the UK/funds sector and in an interesting, dynamic but low risk environment will be given. A great opportunity for that next step.
Key Responsibilities
- Discharge statutory Compliance Officer role under Part 9 of the IOM Financial Services Rule Book, acting as primary point of contact with the IoM FSA.
- Maintain the compliance monitoring programmes, regulatory returns, and statutory registers.
- With the full support of the external compliance advisor, discharge SMF16 Compliance Oversight, with ownership of the firms compliance monitoring programme across AIFMD, MIFIDPRU, MAR, SYSC, COBS, FUND/COLL and the Senior Managers and Certification Regime.
- Lead FCA supervisory dialogue, regulatory returns and notifications including AIFMD Annex IV reports.
- Ideally, hold the MLRO function, managing group sanctions screening and customer due diligence.
- Run group AML/CFT programmes with particular attention to maritime risk factors.
- Deliver annual AML/CFT training to employees and report to the relevant boards on financial crime risk.
- Report to relevant boards and committees on compliance and financial crime risk matters.
- Provide regulatory advice to investment managers on existing and new fund vehicles.
Key Skills and Experience
- Minimum three years; compliance experience in regulated financial services.
- Working knowledge of the IOM Financial Services Rule Book and AML/CFT Code 2019.
- Recognised compliance qualification such as the ICA Diploma in Compliance, the CISI Diploma in Investment Compliance or equivalent.
- Demonstrable ability to satisfy FCA fitness and propriety standards for SMF16 approval, including evidence of relevant training and...
For a full list of responsibilities and requirements or to apply for this great role, please visit the website at searchandselect.com, quoting the reference number: 16553
