Job Description
Our client is seeking an experienced Compliance & Risk Administrator who will provide support to the Head of Compliance ensuring delivery of all related tasks.
Role Responsibilities
– Assist with all deliveries in relation to the Compliance Framework, including but not limited to, preparation of regulatory returns, compliance monitoring programme and assurance testing.
– Assist with management and updating of the policy framework across all IOM Group companies. Keep under review and manage policies, systems and controls relating to risk and compliance, breaches and reporting material breaches to HOC.
– Maintain up-to-date knowledge and understanding of appropriate regulations and internal policies and procedures, including Money Laundering regulations, General Data Protection Regulations, The Rule Book, Anti- Bribery and corruption, Conflicts of Interest, client due diligence, etc.
– Provide internal advice and guidance on the regulatory environment as it applies to TCSPs, Funds and Designated Businesses.
– Assist with reviewing fund governance, scheme particulars / offering documents for adherence to applicable regulations.
– Assist with managing all relevant registers, including breaches, reviewing new advertising/promotional material for adherence to applicable regulations and regulatory correspondence.
– Assist client facing teams in determining CDD requirements and reviewing CDD, assisting with High Risk referrals and PEPs.
– Refer non-standard CDD issues to Head of Compliance for consideration.
– Undertake ongoing monitoring of client files to ensure compliance with requirements.
– Help promote an effective Compliance and Risk Awareness culture.
Skills & Experience Required
– Technical knowledge of TCSP sector, Funds sector, and the regulatory environment.
– Excellent communication skills both written and oral.
– Accurately complete administrative and technical work
– Self-motivated with a structured approach to work
– Identify and analyse problems by interpreting data available
– A team player with ability to communicate with all levels
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