To be the management point of contact for all of Fairway Group’s regulated client entities and to liaise with the business and clients to ensure adherence to all applicable regulatory laws, regulations and policies and procedures;
In conjunction with the client entity board and compliance function, design, amend and update, as required the relevant regulatory systems and controls and policies and procedures;
Shadow the Key Persons, in order to provide cover and with a view to taking on the Key Person roles in the future;
Prepare appropriate and informative, compliance related management information and reports and present these at Board meetings when required or to individual directors;
Liaise with the CMP team to ensure client entity tests are completed in a timely manner and where necessary, assist with their completion and/or review;
To champion a compliance culture within the Fairway group and its regulated client entities, ensuring a risk-based approach to compliance;
Assist employees and clients with queries that may arise on AML and regulatory compliance matters; and
Other projects as assigned and other duties that may be deemed appropriate to this role.
General responsibilities
Develop and maintain excellent relations with clients and other staff members;
Ensure all work is conducted in accordance with internal procedures;
Maintain the highest standards of confidentiality and security in terms of client affairs and records;
Monitor performance against personal and developmental targets;
Meet with the Director and Head of Risk and Compliance on a regular basis and be part of team meetings;
Ensure accurate maintenance of records;
Achievement of objectives and KPIs; and
Identify areas where further training for staff and clients would be beneficial and bring these to the attention of the Board, assist in the arrangement of training and compliance education.
Competencies & skills required
Good understanding of TCB, FSB and CIF Codes of Practice, AML and CDD requirements for a financial service business and its clients;
Strong leadership skills;
Ability to thrive in a dynamic team environment;
Professionalism, dependability, integrity and trustworthiness, combined with cooperative attitude;
Highly motivated self-starter with ability to multitask and complete assignments within time constraints and deadlines;
Strong organisational skills with excellent attention to detail;
Self-motivated, adaptable and flexible in approach to the work;
A team player and confident in dealings with others; and
Demonstrable collaborative approach in order to assist in the implementation, maintenance and support of a compliance focused culture within the Company.
Technical experience / Qualifications
Individual to be deemed a Category B individual by the JFSC;
Minimum 5 years financial services industry experience, preferably in a TCB / AML compliance environment;
ICA Diploma in Compliance/AML or equivalent;
High level of general competency in Microsoft Office e.g. Word, Excel, Outlook and O365; and
Awareness of appropriate business management tools/platforms that may be used by the business.