Compliance Manager

Job Description

Duties include:
Provide an effective compliance service with responsibility for promoting good compliance practice
Supervise and support Compliance Support Staff in their work
Ensure, with the support of Compliance Support Staff, that the Compliance requirements for new business acceptance and ongoing periodic review are met
Act as secretary to the Acceptance Committee
Complete the periodic appraisal of Compliance Support Staff
Assist with the management of incidents as required, including disclosures to the Financial Crime Unit when necessary
Assist with the provision of compliance training for directors and staff
Assist with general legal and regulatory advice as required
Assist with regulatory reporting and supervisory visits, including quarterly and annual reporting and reporting of other ad hoc matters as require by regulations
Co-ordinate various projects as assigned
Work with group directors and staff to achieve above
Attend internal and external training sessions as set by the company
Complete timesheet and other administrative tasks, as appropriate and within set timescales
Any other ad hoc duties as they arise

Skills and experience required:
Degree and/or recognised professional qualification
Experience and knowledge of ‘Know Your Client’ procedures
Experience of compliance in a corporate/trust service provider environment