Friday 18 October 2019
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Head of Compliance, Trust & Funds

Compliance Enquire


Hours:Full Time

Full Description

Our client is now seeking a Head of Compliance to take the lead of an established team of 6. Reporting directly to the local Managing Director, you will be responsible for the development, implementation and oversight of the future compliance strategy and policy, to ensure robust arrangements and management of the compliance function under local regulations.

Job Description

  • Providing strong, strategic direction for the local office, acting as a point of technical compliance delivery to ensure the expected standards of the regulator and the group are met.
  • Providing oversight and technical advice on significant business projects and lead projects which have a compliance/regulatory focus.
  • Appointment as a Key Person (MLCO) for both the Trust and Funds businesses.
  • Reporting, for all regulatory matters, including overseeing all aspects of the local compliance function and team, to the Managing Director and to the Regional Compliance Director on Group compliance matters.
  • Preparation and delivery for risk and compliance, including presentation of formal detailed quarterly compliance reports and CMP to the local boards of directors, to include additional ad-hoc reporting as required.
  • Manage all key aspects of the relationship with the JFSC, ensuring appropriate regular contact, to include all visits/examinations, agreeing remedial action and ensure submission of all necessary reporting within required deadlines.
  • Ensure the internal policies and procedures are maintained to the required standards.
  • Interpret and disseminate information about regulatory changes and adapt procedures, documents and compliance tools to accommodate these rule changes.
  • Make recommendations for improvements in the manner which compliance is achieved within the business.
  • Recruitment and selection, training and development, performance management of the local compliance function.
  • Provide support to the New Business operations to ensure efficient, compliant on-boarding of new clients.
  • Establish effective auditable arrangements for regulatory and AML training for all staff.

Experience & Qualifications

  • Strong compliance technical knowledge.
  • Previous experience dealing with senior executives and management.
  • Solid understanding of the key deliverables required by the local regulator and their impact on the business.
  • Methodical with strong analytic skills; ability to interpret and summarise complex information for onward communication to the Jersey boards and externally as required.
  • Credible and effective communicator, both written and verbal, with proven relationships within industry and/or market contacts.
  • Self-motivated and highly organised with the ability to work under pressure handling multiple tasks with changing priorities.
  • Ability to remain calm under pressure and display emotional resilience.
  • Confident and assertive manner in dealing with both colleagues and external parties.
  • Proven effective supervisory and management skills in being flexible, creative, team-oriented and process-driven.
  • Confident and motivational with excellent communication skills.
  • A thorough knowledge of the local regulatory legislation and requirements.
  • Proven experience in working with the JFSC and on compliance issues within the finance industry.
  • Practical experience of leading and management of a compliance team.
  • Relevant professional qualification and/or degree holder in relevant disciplines; advanced degree preferred.
  • Effective use of IT systems and appropriate software packages.

Salary:Up to 98k + Benefits.

If you are interested in this role or would like more information, simply contact Colin on 767053 for an informal confidential chat, or email your CV in total confidence

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