Opportunity:
The Compliance Technician will be an integral member of the Group’s Compliance Team operating from the 2nd line to engage and partner with the respective business areas of the Group and deliver support and training in relation to regulatory themes.
You will work as part of a Group Compliance Team to achieve the Group's overarching compliance objectives through the achievement of the Team’s own tactical objectives, which are:
- To stay abreast of relevant regulatory themes and developments.
- To disseminate knowledge and understanding across the business through training, engagement and partnering.
- To deliver practical and pragmatic compliance promoting suggestions to the business.
- To champion sound and compliant practices.
- To measure and report upon regulatory compliance.
What you’ll do:
Support the Group’s Senior Compliance Manager by:
- Designing policies, frameworks and standards of conduct and working with the business' Senior Management Team to ensure these are translated into operational procedures and effectively implemented within the business.
- Designing and delivering theme-based training and education to the business, as part of an annual training agenda and on an ad-hoc basis, where training needs arise from time to time.
- Applying due skill and experience in undertaking the compliance monitoring plan, documenting findings, engaging with relevant stakeholders, and obtaining management response.
- Building strong stakeholder relationships and representing the 2nd line as subject matter specialist at:
i) ad-hoc technical workshops and focus groups organised by the 1st line, and
ii) regular / routine working party sessions established by the 1st line. - Providing advice, guidance, oversight, and challenge on regulatory and conduct matters.
- Advising and supporting on the implementation of new rules, regulations, and legislation.
- Collating data for the compliance reporting packs for Executive Committee, Risk Committee, and Board meetings.
- Collating data for, and assisting in the compilation of, scheduled regulatory submission packs.
- Delivering open, balanced, and measured views, perceptions, and opinions.
At all times the Groups values should be at the heart of everything and consistency of evidence of adherence to the values will be a key aspect of the role.
Excellence –
- Regulatory Knowledge: demonstrating excellence by possessing a good understanding of relevant laws, regulations, and industry standards.
- Effective Training Programs: Implementing comprehensive and effective training programs for employees on compliance matters ensures that everyone in the organization understands their responsibilities. This commitment to education contributes to overall excellence in compliance.
- Continuous Monitoring and Improvement: A commitment to excellence involves continuous monitoring of compliance activities. Regular assessments and reviews help identify areas for improvement, ensuring that compliance processes evolve to meet changing regulatory landscapes.
Integrity –
- Ethical Conduct: Integrity is at the core of a compliance technician’s role. Upholding ethical standards and promoting a culture of integrity.
- Confidentiality and Transparency: Maintain the confidentiality of sensitive compliance-related information, in addition to ensuring transparency by appropriately communicating compliance requirements and updates to relevant stakeholders.
Innovation -
- Technology Integration: Embracing innovative technologies for compliance monitoring, reporting, and training to enhance the efficiency and effectiveness of compliance programs.
- Proactive Risk Identification: Proactively identify emerging risks and regulatory trends, preparing the organization for potential future compliance challenges.
- Adaptable Compliance Strategies: Fostering an adaptable approach to compliance, responding promptly to regulatory changes and market dynamics. This may involve developing flexible compliance frameworks that can accommodate evolving business landscapes.
By embodying these values, a compliance technician contributes to the establishment of a strong and ethical compliance culture within the organization. Excellence ensures that compliance efforts meet high standards, integrity builds trust with regulators and stakeholders, and innovation positions the organization to navigate regulatory complexities in a dynamic business environment.
What you’ll need to succeed:
Experience Required
- At least 3 years working in a compliance or investment role within an FSA regulated (or equivalent) environment.
- Good working knowledge of the Isle of Man Financial Service Authority Rule Book.
- Good working knowledge of the investment or banking sector and the concepts and principles relating to the sector.
- Proven track record in the design, development, and implementation of efficient and effective 2nd line compliance processes in a financial services business.
Qualifications and Skills Required
- Recognised or working towards, compliance or investment-related compliance qualifications, equivalent to ICA International Advanced Certificate level, or a relevant financial services qualification.
- Strong communication skills at both operational and strategic levels
- Excellent work ethic
- People orientated
- Ability to work collaboratively across all functional areas of the Group
- Problem solving skills
- Strong implementation skills with a focus on results
- Attention to detail
- Flexible attitude
Who we are
At Capital International, we're more than just a company; we're a vibrant team of innovators dedicated to putting our clients at the centre of everything we do. From a small investment firm established in 1996 in the Isle of Man, we've evolved into a dynamic global team of over 240 professionals based in the Isle of Man, South Africa and Jersey, all united by a shared vision. Our significant growth over the past two decades has not dulled our commitment to the family values that were woven into our foundation. Embracing a culture of Innovation, Integrity, and Excellence, we empower our team members to think creatively and push boundaries in everything they do. Join us, and be part of a forward-thinking environment where your ideas can thrive and make a real impact in propelling us forward.
Our promise to you
At Capital, we invest wholeheartedly in our people, offering not just competitive salaries but a comprehensive range of benefits that prioritise your well-being and career advancement. Enjoy the peace of mind that comes with private health care and life insurance, while our flexible working hours ensure you achieve the perfect work-life balance. Our pension scheme, alongside volunteering opportunities for those keen to give back, reflects our commitment to your future and our community.
We believe in empowering our team members to take charge of their growth. That’s why we provide extensive training and development programmes designed to help you drive your career forward and hone your leadership skills. Moreover, you’ll have unique access to our innovative products, allowing you to engage fully with your professional environment.
If our benefits resonate with you, you’ll also appreciate the positive and supportive atmosphere created by our welcoming colleagues. At Capital, we cultivate a culture built on trust and open communication, where collaboration is key, and every achievement is celebrated. Join us and contribute to a team that strives for excellence and values your unique insights and contributions.
- Transparent Communication: Embrace open dialogue and transparency. Your voice matters!
- Excellence Commitment: Keep promises, deliver quality work, and take ownership.
- Respectful Collaboration: Value diverse perspectives through constructive discussions.
- Result Recognition: Celebrate success and take pride in your impact.
- Team Synergy: Stand by your decisions, support your team, and take pride in our collective achievements.
Don't just watch what we accomplish, be a fundamental part of our successes, embody our behaviours and apply today!
** It is the policy of Capital International to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, creed, religion, national origin, citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, genetic information, or any other basis protected by law. *