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Single Circle

Deputy Compliance Officer

Single Circle

Deputy Compliance Officer

Our client is a leading provider of fiduciary services where they put clients first. They are privately owned and looking to gain a new team member. You will act as the Deputy Compliance Officer for the group and its affiliates, managed entities and individual funds as required. Review of potential new Trust and Fund clients, including reviewing new business take-on forms, client due diligence profiles, risk assessments, client identification documents and other documentation as appropriate. Ensure that on-going monitoring of the business is conducted and drive the development of monitoring programmes and the presentation of findings as may be required. Review any managed entities/managed trust company relationships for adherence to applicable regulations and laws. Prepare appropriate and informative reports to the Board(s) and be able to present these at Board meetings or to individual directors in the absence of Group Head of Compliance. Where appropriate to take over Key Persons (Compliance Officer/ MLRO/MLCO) roles from the Group Head of Compliance. Identify areas where further training for staff would be beneficial and bring these to the attention of the Board, assist in the arrangement of training and compliance education. Relevant professional qualification to allow the individual to be deemed a Category B individual by the JFSC. Minimum 5 years financial services industry experience, preferably in a Trust Company Business and Fund Services Business compliance environment. ICA Diploma in Compliance or equivalent is essential for the post. Demonstrable people first skills in order to in bed a compliant culture within the firm.





Key Contact

Ann Egglishaw

Senior Consultant
01534 715150
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