Risk and Regulatory Compliance Officer

  • Post Date: October 3, 2019
  • Isle of Man
Job Description

The purpose of this role is to provide support and advice on the identification and management of regulatory compliance risks across the client companies. This includes making decisions on disclosure of suspicions and liaising with financial crime agencies; and responsibility for operational risk support. The role has influence at all levels of seniority, and supports the Chief Compliance Officer in ensuring that all activities undertaken comply with legal, ethical and regulatory requirements.

Skills and Experience Required:
– In depth knowledge and experience of the responsibilities of a Risk & Compliance Officer in an investment management or life assurance business. Candidates with investment management experience are preferred,
– Relevant professional qualifications or extensive experience in a similar role,
– Sound understanding of different categories risk from a technical and operational perspective,
– Operating in a multi‐jurisdictional environment,
– Working in a business going through continuous upgrading, change and growth,
– Able to represent the Group on industry bodies,
– Problem Solving ‐ Analyses situations, identifies solutions and presents complex problems in a clear manner,
– Influencing ‐ Develops sustainable relationships, persuasive, articulates information well, challenges ideas constructively and insightfully, deals with stakeholders with humility and respect – a trusted advisor and credible subject matter expert,
– Adaptable ‐ Enjoys new challenges, embraces change, resolves conflict, flexible support to the wider team,
– Results Driven ‐ Organises resources, establishes priorities, puts planning and governance structures in place, establishes risks,
– Reliable – delivers on commitments and upholds our team standards and principles,
– Organisational – meticulous attention to detail, organisational and time management skills and a genuine interest in business,
– Independence – the ability to conduct the role independently and with integrity and to exercise professional judgement.

Key Contribution areas:
Regulatory Responsibilities
Financial Crime
Team and Culture