Compliance Manager

• Develop and lead the compliance agenda across the business.
• Govern the compliance of client activities.
• Collaborate with other departments to create a culture of Compliance.
• Proactively identify situations that may pose significant compliance risks and guide management in the development/reviewing of applicable policies, procedures, and business practices.
• Providing advice and training on anti-money laundering, sanctions and privacy matters and performs 2nd line review of client AML risk assessments.
• Responsible for the delivery of the annual training plan.
• Respond to the CBI and other Regulator queries as well as assist with regulatory inspections as and when they arise.
• Manage the development & implementation of a risk-based compliance monitoring programme by effective execution of compliance tasks and identification and reporting on areas for improvement.
• Review and assess compliance breaches and work with the business to remediate them.
• Understand the various statutory and regulatory requirements and keep up to date with changes.
• Ensure that all the various requirements are met, with reference to the Consumer Protection Code, Handbook of Prudential Requirements, Minimum Competency Code, Fitness & Probity Standards, etc.
• Conduct annual reviews of Fitness & Probity of all relevant personnel.
• Review the Minimum Competency Code Accreditation and CPD requirements on an ongoing basis.
• Ensure accounts and related information are submitted to the Central Bank within relevant timescales and in correct formats.
• Ensure the Central Bank, ICCL, and FSO levies are paid when due
• Ensure Professional Indemnity Insurance is in place for the required levels of cover.
• Monitor any errors and client complaints and deal with these in accordance with the Consumer Code requirements.
• Preparing reports for the regulator(s) and maintaining an open and positive working relationship with them
• Ensure all employees are aware of and understand their compliance responsibilities.

• The Person should demonstrate a high degree of self-reliance and self-motivation.
• Ability to work under pressure while maintaining high accuracy and quality standards.
• Ability to work to and meet agreed deadlines.
• Ability to demonstrate integrity in all tasks and functions performed.
• Excellent knowledge and experience of AML / Client due diligence / Onboarding of clients.
• Excellent knowledge of compliance monitoring procedures and reporting.
• Excellent interpersonal and written communications skills.
• Be able to provide detailed and analytical analyses of risks posed to the business.
• Strong presentation skills (verbal and written)
• Track record of building strong control-compliant environments.
• Knowledge and experience of the Life, Pensions & Investment industry.
• QFA Required
• ACOI or equivalent professional and/or 3rd level qualification required

• Excellent remuneration packages available
• Hybrid, flexible working model in place
• 22 annual leave plus company days
• 5% employer pension contributions (following successful probation)

Prosperous Financial