Senior Compliance Co-ordinator & DMLRO
Isle of Man Office
Job Description
Reporting to the Partners and the Compliance Director, the primary purpose of the Senior Compliance Co-ordinator is to oversee the firm’s compliance with the regulatory and statutory reporting requirements.
The Senior Compliance Co-ordinator will also act as the firm’s Deputy Money Laundering Reporting Officer and provide continual risk assessment and development of comprehensive policies and procedures, training and internal investigation for all areas of the firm including the Falkland Islands and Gibraltar.
Key Tasks
Key Tasks
- Ensure that the day-to-day operations of business are in line with the agreed operational and compliance procedures for the firm;
- Ensuring the operations of the firm adhere to the recent Anti-Money Laundering Guidelines;
- Perform internal compliance investigations and audits, throughout the firm, including compiling detailed reports to the Partners;
- Ensure that all financial transactions are recorded and are carried out in accordance with instructions received and within set time limits;
- Develop compliance training materials and perform ongoing compliance training throughout the firm and ensure that the procedures are maintained and worked to;
- Provide ongoing advice and resources to management for compliance issues and process monitoring and improvement, and to work with management;
- Produce relevant returns and notifications to the regulators;
- Specialist projects as agreed with the Partners to support the requirements of the business;
- It is a mandatory requirement to operate on a daily basis within the ISO 9001 Quality Management System;
- Understand the requirements of the ISO 9001 Quality Management System and maintain a good working knowledge; and
- Have an awareness of how departmental procedures, documents and record keeping have a positive or negative effect on the ISO 9001 Quality Management System.
Other Duties
Other Duties
- Be aware of developments within the offshore industry;
- Become familiar with the services provided by the local firm and Moore Global;
- Understand proposed legislation and the impact upon the firm and clients; and
- Understand the firms’ policies and procedures and adhere to them in daily working practice.
Key Skills
Key Skills
- Have at least three years’ experience within an office environment;
- Possess a good understanding of compliance and its function;
- The ability to produce accurate work in a rapid and fast paced environment;
- Project management;
- Presentation skills; and
- PC literate, particularly with Excel, Word and PowerPoint.
Key Attributes
Key Attributes
- Professional and positive approach;
- Strong in building relationships and be able to communicate at all levels;
- Self-motivated;
- Team player, but also be able to work on own initiative; and
- Dynamic and creative.