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This role will provide support and assistance to the Head of Risk and Compliance in the maintenance and monitoring of the compliance and quality systems in line with relevant MAS regulatory rules and requirements. It will also focus on post transaction reviews as part of the department's responsibility as the independent sales audit unit.
About us Quilter International provides financial solutions for both local and expatriate investors across the globe.
The business, established on the Isle of Man over 30 years ago, employs over 500 people in Onchan, and provides operational support to Quilter International clients in the UK, Europe, Singapore, Hong Kong, Dubai, Latin America and South Africa.
As the largest life assurance company on the island, all aspects of our business share a common core objective - to deliver great customer outcomes. This objective informs our thinking and behaviour across a range of activities including product design (is it appropriate for the customer), marketing (is it well presented and easy to understand), and service (is it easy for the customer to deal with us).
Our unwavering commitment to our customers resulted in us winning 15 industry awards in 2017 including Best International Life Group UK. In addition to this we were also awarded the Defaqto Silver Service Award in both the Isle of Man and Ireland for 2017.
About the role This role will incorporate some of the following responsibilities:
Providing support to the Head of Compliance for execution of the AAM Risk and Compliance plan, in particular the continuous posttransaction review of advice as the independent sales audit unit in accordance to the MAS' methodology.
Progressing the concerns identified as part of the post transaction reviews, client surveys and complaints; recommend the conclusion of concerns as infractions according to criteria provided by the MAS.
Reviewing the completion of continuous professional development requirements of financial adviser representatives (FAR), fit and proper attestations.
Analysing and supporting in financial crime related monitoring.
Analysing and supporting in enterprise wide risk assessment on financial crime.