Compliance Officer

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