Compliance Manager (Prescient Fund Services)

DUTIES & RESPONSIBILITIES

• Manage a team of Compliance Officers/Administrators.
• Oversee licensing requirements and regulatory obligations (including reporting, applying for new business products, etc) for the relevant licensed entity and regulatory approved individuals, while ensuring that compliance activity takes account of all relevant legislation and FSCA/FIC/Information Regulator activities.
• Serve as the appointed FAIS Compliance Officer for a CAT I FSP (intermediary only), and/or FIC MLRO and Compliance Officer and/or S13B Compliance Officer.
• Drive, oversee and maintain the development and monitoring of Compliance Risk Management and Compliance Monitoring plans.
• Identify compliance focus areas and assists the business to build effective CRMP’s and documenting those in the risk management system.
• Assist the Head of Compliance in the preparation of reports to regulatory authorities, and internal executive committees and boards.
• Maintain appropriate written procedures to ensure compliance with applicable legislation, regulations and group policies, and to monitor adherence to such procedures in order to demonstrate to the applicable Regulators that the business seeks to adequately manage its compliance risks.
• Promote a positive compliance culture and risk awareness.
• Providing assistance and support in satisfying staff training and development needs and plans in relation to new regulations and legislation.

REQUIRED QUALIFICATIONS

Relevant tertiary qualification, ideally in Law or Compliance and Risk Management.