Job Information

Role and Responsibilities

• Responsible for Group Due Diligence, Know Your Client and Anti Money Laundering processes across numerous regulatory jurisdictions.
• Requirement to carryout continuous gap analysis to ensure all regulatory requirements being met.
• Responsible in ensuring all reporting requirements including regulatory returns, SARs and other relevant jurisdictional reporting including FATCA and CRS is undertaken.
• Assess and validate business risks and support the review of policies and the monitoring and testing of controls designed to address these risks.
• Required to undertake compliance site visits and audits to all branches to ensure adequate systems and controls are in place.
• Lead in client complaint handling.
• Drafting of Service Level Agreements, Appointed Representative Agreements and all other legal documentation.
• Required to implement and oversee where appropriate staff training.
• Responsible for day to day approval and sign off of all high-risk business including but not limited to pension (QROP/QNUP) and investments.
• Review and oversight of all outsourcing arrangements.
• Compliance with Data Protection Regulations.
• Provide regulatory guidance and input in support of all strategic projects and growth initiatives.
• Maintain good strong working relationships and act as a point of contact for all regional managers and key stakeholders across the business.


The above list is not extensive and other roles and responsibilities may be added as required.


Qualifications and Education Requirements

• Diploma in Compliance or equivalent qualification
• Comprehensive knowledge and understanding of relevant legislation, policies and codes governing the Financial Service Sector
• Deep understanding of Risk and Compliance environment with an established track record of designing and implementing appropriate procedures
• Strong leadership background with proven people management skills
• Effective communication and interpersonal skills at all levels
• Ability to plan and lead project teams, determine and mitigate risks