Assistant Compliance Manager

Duties include:
Be responsible for the day to day management of the team and effective management of workloads
Provide guidance and mentoring of other team members
Attendance at internal committee meeting - in house/client structures
Keep Compliance Manager informed of all matters of significance so that they can continue to keep Group informed of material issues affecting the Isle Of Man compliance function
Provide and promote a positive and professional compliance service to all staff within the Company
Ensure the compliance monitoring programmes are conducted on schedule in accordance with the monitoring plans
Ensure file reviews and audit checks are completed within service level agreements
Maintain and update, on a regular basis, a variety of Compliance Registers (both standard and non-standard) i.e. PEP Register, Conflicts etc
Maintain and update a variety of control and reporting data sheets
Compile relevant Management Information reporting and analysis
Prepare summary of proposed business transactions to present to the New Business Committee
KYC/Customer Due Diligence (CDD) analysis and advice
Drafting and updating policies and procedures
Comply with departmental policies and procedures and ensure that any deadlines set by the Compliance Manager are met
Administration and review of results/alerts arising from scheduled data scrubbing programmes
The provision of timely and accurate reports to senior management on relevant matters in particular preparation of board reports
Ensure knowledge of compliance is up-to-date with recent developments and changes to legislation so as to provide a first class advisory service
Attend relevant seminars and conferences
Any other compliance related duties that may be required from time to time
Ensure that all personal obligations under the Anti-Money Laundering Legislation are adhered to at all times
Liaise with auditors, banks and other external service providers
Facilitate and run internal training sessions on compliance related subjects

Skills and experience required:
5+ years professional experience in a similar Compliance or technical role and/or experience in professional services industry (preferably fiduciary), plus a relevant compliance qualification
Ability to make a critical evaluation of arguments, concepts, data and assumptions and to constructively challenge the status quo
Sound drafting skills in order to prepare policies, procedures, reports and other compliance related documentation
Have a good understanding of the exposures to risk within a financial services organisation
Deliver exceptional services and produce work to a high quality within expected timeframe and service level
Supports/implements strategy, maximise internal/external relationships, maintain external profile
Ability to think strategically and put forward suggestions and ideas which supports the teams objectives
Excellent organisational, communication and interpersonal skills along with a commitment to working as part of a global team
Takes responsibility for completion of work, staying alert to potential issues that need disclosing to Management
Strong negotiation skills
Successfully provides strategic support to business areas
Develops close working relationships with staff, providing professional guidance, proactively and when asked or needed
Listens to client needs in an effort to provide solutions. Develops and maintains an effective relationship with relevant external bodies
Responds to requests to contribute to external consultations
Identifies and deals with non-compliant activity under your remit
The ability to prepare for an inspection visit from regulatory bodies
Ability to design and oversee procedural controls in order to monitor compliance risks
In depth knowledge of the regulatory environment; with a good understanding of trust company business, funds, functionaries and their regulatory and statutory requirements
A competent user of Microsoft packages including Word, Advanced Excel and Outlook and also Viewpoint
An enquiring and analytical mind with good investigative skills

  • Start Date: TBA
  • Location: Douglas
  • Sector: TSP / CSP
  • Job Type: Permanent
  • Hours: Full Time
  • Salary: £ TBA
  • Reference: 00021154

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