Senior Compliance & Regulatory Manager

Compliance and Regulatory Manager (MLRO)| Financial Services | Gibraltar | Excellent Salary plus Benefits Package

SRGEurope have been appointed to recruit an experienced Senior Compliance and Regulatory Manager (MLRO) with at least 10 to 15 years' experience to join a successful investment company looking to expand their office network to the sunny location of Gibraltar.

The Senior Compliance and Regulatory Officer will be one of the client's two GFSC Four Eyes regulatory holders.

The client is a specialist in Funds and Bonds Listings and has a long established reputation in the financial sector.

The successful candidate will have a working knowledge of AIFIMD risk management.

If you are an experienced Senior Compliance & Regulatory Manager and looking for an exciting opportunity.

Whats On Offer:



Above Market basic salary


Extensive Benefits package


Working alongside acclaimed industry professionals



Responsibilities:



Be the contact point for GFSC and liaise with the regulators for all related matters


Preparation and submission of regulatory reports


Preparation of Compliance Monitoring Plan annually and undertaking Compliance Monitoring reviews, which necessarily includes the monitoring of operations, trading and best execution


Maintenance and periodic review of the Company’s Compliance Manual; Data Protection Manual; AML/CFT/SAR policies; and Client Risk Profile & Suitability Manual;


Review and sign-off of Financial Promotions


Creating staff awareness regarding the compliance manual and policies and providing regular training


Be responsible for the implementation and governance of the Compliance policies and procedures approved by the Board on an annual basis


Perform reviews and undertake due diligence on Service Providers’ policies and procedures


Conduct internal monitoring of regulated Funds activities such as Fund Administration, Shareholder Services and Fund Accounting


Conduct internal reviews and investigations of breaches and compliance issues


Provide regulatory support to the business regarding product implementation, revision and submission



Profile:



Previous compliance experience working for an established Fund


Professional competence to deal confidently with regulators and senior management


University Degree or professional qualification (ICSA Diploma level 4, IFA 5 or 5 or equivalent)


Knowledge of AIFIMD Risk Management requirements and processes


Previous experience performing due diligence of investment advisers is a plus


Experience in internal audit at financial services firms a plus if in combination with above compliance experience


Strong knowledge of international (i.e.

PRA, FCA, SEC, EU) regulation of investment advisers and investment companies with strong understanding of funds


Excellent written, oral and presentation skills required


Resident of Gibraltar or in close proximity in Spain



To Apply

Please click on the ‘apply’ button and upload your CV and a Cover Letter or alternatively contact Angelique Pearson, Managing Director by email angelique.pearson@srgeurope.com or call Gibraltar +350 200 69999.

Why Gibraltar

Gibraltar is a British Overseas Territory on the edge of the Iberian Peninsula neighbouring Southern Spain.

It boasts 300 days of sunshine per year, a relaxed out of work lifestyle and is easily accessible to the rest of Europe from Gibraltar and Malaga airports.

The primary currency in Gibraltar is pounds/sterling and there are excellent English speaking schools if you are relocating with your family.

We will help you with your relocation process about which you can read here: https://www.srgeurope.com/working-in-gibraltar/relocating-to-gibraltar.

Senior Compliance and Regulatory Manager | Gibraltar | AIFIMD |Risk Management |MLRO | Compliance Monitoring


  • Location: Gibraltar
  • Salary: Competitive Salary + Benefits
  • Type: Permanent
  • Recruiter: SRGEurope
  • Posted: 25-Oct-2022
  • Posted on: jobs4a.com