Head of Compliance

• Creating and maintaining the risk and compliance framework which meets regulatory requirements and appropriately manages the risks of the business.
• Conducting annual risk assessments of the business, incorporating conclusions into processes and policies.
• Conducting periodic customer risk assessments on client entities and exempt schemes to identify and mitigate and potential financial crime risks.
• Acting as MLRO and being the ultimate point of contact for AML queries and responsible for reporting suspicious activity and training.
• Acting as DPO and being the ultimate point of contact for data protection queries and any breaches of data protection legislation.
• Conducting compliance monitoring of key risk mitigating controls in the company risk framework, reporting any deficiencies to the relevant business area, and closing any gaps.
• Managing interactions with IOM Regulatory Authorities, including the submission of regulatory returns.
• Creating and updating policies, procedures and handrails within the field of AML/CTF, regulatory compliance and data protection.
• Sharing knowledge and educating staff on ML/TF risks and regulatory requirements, providing information and training to support ongoing competence throughout the company.
• Responsible for the vetting of new investment partners and investments to ensure they are compliant with regulations and the business model.
• Advising the Board on the regulatory landscape including new and emerging developments.
• Working with the wider group offices to coordinate policies and procedures and to provide ongoing support where required.

• Compliance Institute Diploma, Qualified Chartered Secretary, or other relevant professional qualification.
• Strong commercial acumen and ability to understand the impact of regulatory changes on the business.
• Relevant regulatory experience within an IOM regulatory environment.
• Ability to work in regulatory environment whilst also taking a pragmatic risk-based approach to the business.
• Analytical skills, focus to detail while bearing in mind overall context.
• Demonstrate interest in seeing problems in context, finding solutions.
• Combining business and compliance perspective.
• Solid organisational and self-management skills.
• Moral integrity.

Your specialist: Anne Murray

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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.

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