Compliance Officer

• Review and ensure frameworks, client files and internal controls meet evolving regulatory expectations and align with best practice standards.
• Assist in the implementation and maintenance of the risk and compliance framework.
• Ensure that the procedures of the company are followed at all times.
• Provide general administrative support to the Risk & Compliance team.
• Actively promote a positive culture of compliance and image of the Company.

• Assisting with the development and execution of the Group's annual compliance monitoring plan, tailored to its regulated activities.
• Conducting thematic reviews, spot checks, and risk-based sampling of client files, onboarding, risk assessments, and ongoing monitoring.
• Validating the effectiveness of internal controls and remediation efforts following regulatory findings or internal audits.
• Tracking and reporting progress against the compliance monitoring plan to the Head of Risk & Compliance and relevant committees.
• Produce structured written reports with actionable findings and root cause analysis.
• Provide real-time feedback and guidance to teams to support regulatory understanding and adherence.

• Minimum 3 years' experience in a compliance risk, or internal audit role within a regulated financial services firm, ideally Class 4 and 5.
• Assured knowledge of the regulatory compliance obligations of Isle of Man regulated entities.
• Experience of file review and compliance monitoring methodologies.
• High attention to detail, strong analytical skills, and problem-solving mindset.
• Ability to work independently and manage competing priorities effectively.
• A relevant professional qualification.

• Experience developing and implementing assurance and monitoring frameworks including testing methodologies.
• Previous experience in the review and assessment of financial crime prevention frameworks.

Your specialist: Danielle Dennis

Quote job ref: 16032

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