Compliance Officer (Prescient Fund Services)

DUTIES & RESPONSIBILITIES

• Serve as the appointed FAIS Compliance Officer for a CAT I FSP (intermediary only), and FIC MLRO and Compliance Officer and S13B Compliance.
• FAIS monitoring and planning for Prescient Fund Services and related Juristic Representatives:
• Update monitoring plan to be line with the relevant legislation.
• Monitor Continuous professional development (CPD), Class of business training (COB) and Product specific training (PST) of all reps and KI’s within the business.
• Report to Senior Management.
• Submit any regulatory reports required by FAIS.
• Representatives under supervision monitoring:
• Monitor that the representatives under supervision are being supervised and ensure that evidence of supervision is provided.
• AML – MLRO:
• Keep up to date with relevant legislation.
• Assist in any FIC reporting.
• Oversight of ongoing FICA monitoring.
• Provide FAIS training:
• Plan and implement compliance training to Prescient Fund Services to cover the various pieces of legislation relevant to the fund administration business.
• Regulatory submissions:
• Collate and submit regulatory submission for PFA S13B license.
• Collate and submit any adhoc regulatory reporting required by the FSCA.
• Liaise with FSCA for any further licencing requirements that the companies within the PFS Group may have.
• Any other regulatory compliance related services that the company may require.

REQUIRED EXPERIENCE

• 5 – 8 years’ experience in a related regulatory Compliance role from Financial Services / Fund Services.
• FAIS registered Compliance Officer for Cat I.

REQUIRED QUALIFICATIONS

Degree / Post Graduate Qualification required.

• RE 1 and RE 5.

KEY COMPETENCIES

• Attention to detail.
• Ability to take initiate and drive projects to completion.
• Strong time management skills.
• Positive team player.
• Good written and verbal communication skills.
• Reliable and trustworthy.

WHY THIS ROLE?

This is an excellent opportunity to take the lead in a key regulatory compliance function and effective monitor the business in line with legislative requirements. You will play a key role to positively promote further embed a compliance culture within the business.

VACANCY APPLICATIONS

Please note

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Please be cautious of individuals fraudulently attempting to solicit business or investments by impersonating or claiming to be an associate or representative of Prescient, who are selling or advertising investment opportunities. Please ensure to contact Prescient directly in the event of someone soliciting or attempting to solicit investments from you.

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