COMPLIANCE MANAGER | ref.MF28
Our client has an opening for a professional Compliance Manager on a temporary, part-time basis to help ensure that all operational procedures and all regulatory, compliance and anti-money laundering guidelines are followed at all times, and to help promote a positive image of the company.
KEY RESPONSIBILITIES INCLUDE
Conduct periodic internal reviews or audits to ensure that compliance procedures are followed and conduct or direct the internal investigation of compliance issues where appropriate.
Assess product, compliance, or operational risks and develop risk management strategies.
Disseminate written policies and procedures related to compliance activities and/or a change in relevant legislation or regulatory guidance.
File appropriate compliance reports with regulatory agencies.
Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
Discuss emerging compliance issues with management or employees and provide comprehensive written compliance and risk reports to the board on a quarterly basis.
Review communications such as sales advertising to ensure there are no violations of standards or regulations.
Provide employee training on compliance related topics, policies, or procedures.
Provide assistance to internal or external auditors in compliance reviews.
Report violations of compliance or regulatory standards to duly authorised enforcement agencies as appropriate or required.
Liaise with and be the contact point in relation to all relevant regulatory and governmental authorities.
Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organisational processes.
Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
SKILLS AND EXPERIENCE
Working knowledge of relevant computer applications.
Excellent communication skills.
A good understanding of regulatory and compliance legislation in the Isle of Man.
A good understanding of fund and investment management, insurance and pension legislation, banking procedures and practices, and investment services and their practical applications
A number of years’ experience in compliance.
To discuss this role further please email your CV to firstname.lastname@example.org or call us on 01624 698900 quoting reference MF28.