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Head of Compliance

Sefton Group PLC

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Location:
Isle of Man , Douglas

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Category:
Finance

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

This role will play a crucial part in ensuring robust compliance procedures are maintained across these businesses and the successful candidate will play a key part in our management team. This position gives the opportunity for an experienced compliance professional to utilise their skills and knowledge in an interesting and varied role across all aspects of our friendly and busy fiduciary service and accountancy business.

Job Responsibility:

  • Managing the Compliance Department with all aspects of client compliance and supervising tasks through to completion
  • Overseeing the maintenance of the firm’s policies and procedures and compliance manuals and directly updating as appropriate
  • Keeping up to date with relevant regulation and legislation and assisting the Board with regulatory consultations
  • Directly implementing the Compliance Monitoring Plan for the firm
  • Review of quarterly compliance reports for the Board and attendance at the Quarterly Compliance meetings, ensuring the follow up of matters arising
  • exception reporting and monitoring
  • Assisting the Deputy MLRO and MLRO to ensure compliance with AML/CFT legislation and guidance and overseeing the arranging/preparation of AML training
  • Overseeing the preparation and submission of regulatory returns
  • Ensuring compliance with all regulatory requirements and deadlines
  • Acting as primary point liaison with the IOMFSA
  • Attending the signoff Committee meetings and the Risk Committee meetings, following up matters arising
  • Perform regular monitoring of high-risk clients
  • Risk assessing Politically Exposed Persons (PEPs) and maintaining the PEP register
  • Maintenance of compliance registers and breach investigations
  • Providing ongoing advice and support to staff in relation to all compliance matters
  • Carrying out firm wide training as appropriate and relevant
  • Supervising compliance staff in relevant tasks and undertaking monthly reviews

Requirements:

  • Professional qualification in compliance
  • IOMFSA approval to act as HOC
  • Longstanding experience as a HOC in the TCSP industry
  • Good working knowledge of Financial Services Rule Book & the AML/CFT Code
  • Longstanding experience of working within the TCSP industry
  • Experience of developing and directly implementing a Compliance Monitoring Plan
  • Strong people leader who will see tasks through to completion, whilst at the same time being fully involved in all aspects of day to day compliance work
  • Excellent interpersonal skills which enable the HOC to work effectively with all department members, and also to collaborate with external parties when needed
  • Strong organisational skills
  • Ability to work to strict deadlines
  • Willing to take on responsibility and ownership of tasks
  • Methodical with attention to detail
  • Experience or a professional qualification in data protection

Additional Information:

Job Posted:
February 24, 2026

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