Group Compliance Manager
Our Client seeks a Group Compliance Manager to manage all things Compliance across 3 businesses.
- Manage regulatory monitoring visits including co-ordinating the company's response and ensuring action points are fully addressed
- Keep fully up to date with IOM law, regulations and guidelines which might impact on the company, assess the impact on the company and advise the board(s) accordingly with recommendation on any action to be taken.
- Manage the risk profiling of the company's operations, products and clients including consideration of external risk factors. Maintain the risk profiles up to date by reviewing at least annually and more frequently if required.
- Ensure all corporate governance policies, manuals and procedures are fully documented and appropriate based on the company's risk profiles. Review at least annually and more frequently if required.
- Establish appropriate internal audit monitoring programmes, carry out the audits, report results to the board and manage completion of action points.
- Ensure the appropriate MLRO registers and records are maintained
- Review any suspicious transaction reports and recommend reporting to FCU as required. Monitor ongoing transactions and make further FCU reports as required.
- Organise external AML staff training or provide training yourself
- Review Customer due diligence
- Ad hoc projects as required
- Produce board reports and attend board meetings to present these.
- Manage the due diligence on new introducers, including ensuring that TOB are in place.
- Manage the production of or produce as appropriate the policy documentation and any service provider agreements
- Ensure corporate governance requirements are met
- Ensure that the company's business interruption/recovery plans are kept up to date and annually reviewed.
- Organise and manage regular testing of the plans, at least annually and co-ordinate completion of action points.
- In the event of a business interruption incident, manage the initiation and implementation of the plan.
- Ensure all staff and the board are fully trained so that they are aware of the company's business interruption and recovery plans and their roles in the event a plan is initiated
- Maintain the company's data protection registrations
- Maintain Data protection registration
- Ensure that complaint procedures are kept up to date
- Provide staff training on the complaint's procedures
- Monitor that complaints are handled in accordance with the procedures and procedures amended, as required, to minimise similar complaints in future.
Key Skills and Experience:
- In depth knowledge of FSA regulations
- Confident and articulate with strength of character to influence the boards and senior managers to instil a strong compliance culture commensurate with the company's risk profiles
- An understanding of 'risks' and the ability to tailor the company's corporate governance controls to ensure that these adequately cover the company's risk profiles without being unnecessarily onerous
- Attention to detail
- A recognised ICA compliance qualification
- Willing to work as part of the team and assist where and when required outside of 'compliance'
Your specialist: Anne Murray
Quote job ref: 8615
Hi, I'm your specialist Anne and I can't wait to hear from you about this job. You can simply submit your CV or call me on 678144 with any questions.