Our client is seeking a Legal, Risk and Compliance Assistant Manager or Manager to support the Director for In-House Legal, Risk, and Compliance in ensuring the company remains fully compliant with legal, regulatory, and corporate governance requirements. This mid-management role involves providing guidance to operational teams, overseeing compliance monitoring, and reporting key management information. The successful candidate will play a crucial role in identifying and mitigating risks, maintaining internal policies and procedures, and fostering a strong compliance culture within the organisation.
Job Duties:
- Evaluate, identify, and mitigate legal, risk, and compliance matters, ensuring adherence to fiduciary rules, anti-money laundering regulations, and other legislative requirements.
- Oversee corporate governance, including record-keeping and compliance with corporate formalities.
- Support the review, update, and implementation of legal, risk, and compliance-related policies and procedures.
- Work with the MLCO to assess the effectiveness of the Compliance Monitoring Programme.
- Manage Customer Risk Assessments and Periodic Reviews, ensuring timely completion and oversight of action points.
- Ensure compliance with regulatory obligations while providing commercially practical solutions.
- Oversee the maintenance of compliance registers and client profiles, ensuring CDD and ECDD documentation is up to date.
- Prepare and submit regulatory reports to external bodies, ensuring full compliance with the GFSC Handbook and other relevant regulations.
- Monitor and assess regulatory developments, advising on necessary changes and risk mitigation strategies.
- Develop and maintain internal policies that promote ethical conduct and regulatory compliance.
- Provide training and guidance to employees on legal, risk, and compliance matters.
- Assist with corporate governance responsibilities, including regulatory disclosures and record-keeping.
- Stay updated on industry trends, legal precedents, and best practices in fiduciary law and finance.
Job Requirements:
- Strong background in legal, risk, and compliance within fiduciary services or financial services.
- Extensive knowledge of relevant regulations, including AML/CFT/CPF requirements, fiduciary rules, and corporate governance best practices.
- Experience overseeing compliance monitoring programmes and regulatory reporting.
- Proven ability to assess legal and compliance risks and implement effective mitigation strategies.
- Excellent communication skills, with the ability to provide clear guidance to operational teams and senior management.
- Strong organisational and analytical skills, with a proactive approach to problem-solving.
- Management experience, including reviewing colleagues’ work and providing training where necessary.
- Relevant professional qualifications and commitment to continuing professional development.
What You’ll Love:
Our client offers a dynamic and compliance-focused environment where risk management plays a pivotal role in business success. This role provides an opportunity to work closely with senior leadership, contribute to policy development, and play an integral part in ensuring regulatory excellence.
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