Compliance Officer Ysterplaat - Ysterplaat
CA Financial Appointments
My client who is a leader in the Wealth industry is seeking a Compliance Officer to join their team to oversee the Group Compliance requirements implementing and monitoring procedures. Do you have your RE5 and RE1? In this role, you are to ensure that the organization adheres to all relevant regulations, laws, and industry standards. You will develop, implement, and oversee comprehensive compliance programs to mitigate risks and promote ethical conduct within the company. Through continuous monitoring and assessment, you will identify and address potential compliance issues, providing guidance to the leadership team to maintain a culture of compliance. You will collaborate with various departments to educate and train employees on compliance requirements. Your commitment to upholding the highest ethical standards will contribute to the integrity and reputation of the company. Responsibilities: Assuring compliance with the FSCA (Financial Service Conduct Authority) is always adhered to through close collaboration with stakeholders, key individuals, and external compliance officers To identify and brief key individuals and exco on all forthcoming regulation changes and impacts on the business Liaison with external compliance consultants Preparation of board packs and compliance reports every quarter Compliance review of all NewBusiness and Servicing cases submitted for the group Submission of Fund Selection and Withdrawal cases to various providers Maintaining and Administering the Representative Register Maintaining and Administering the Competency Register (e.g. CPD and Supervision tracking) Fit and Proper checks for New Wealth Managers Ensuring all New Wealth Managers are provided with a "Starter Pack" (e.g Rep Disclosures drawn up, RMCP Emails to be sent, Submission of Masthead Applications, Drawing up of Supervision Forms) Ensuring all Quarterly declarations have been sent and received Due Diligence and review of third-party contracts including terms of business with various providers Ongoing compliance monitoring and onboarding checks of all advisory staff, fit and proper competency checks according to FSCA regulations Audit support - Provision of compliance requirements for internal and external audits Oversight of the compliance team responsible for all onboarding and compliance checks of all cases within the business, and review of case escalations Implementation and oversight of all aspects of anti-money laundering (AML) systems, including monitoring effectiveness and enhancing the controls and procedures where necessary Leading and executing a risk-based AML compliance program to ensure ongoing compliance with statutory and regulatory requirements Regular risk assessments and updates to Risk Management and Compliance Policy: such as identifying potential compliance risk and actively advising management to implement proper compliance program to address any potential regulatory problems Implement, regularly review, and update all policies and procedures to ensure accuracy and compliance with regulatory changes such as the Treating Clients Fairly, Risk Management Policy Complaints management Establish a culture of compliance by training all staff accordingly Monitor industry trends and developments and plan for potential changes Support company secretary on agreements and license applications/renewals where required Requirements: Senior Certificate, Compliance Officer (recognized qualification) Certifications: First Level Regulatory Examfor Representatives (RE5) First Level Regulatory Exam for Key Individuals (RE1) Please note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role. Please do though continue to follow us online and apply for suitable opportunities. see Duties & Responsibilities
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