Senior Manager - Licensing and Enablement (O912938)

Overview

We are currently seeking a Senior Manager (Licensing and Enablement) for our Douglas-based Client, a leader in fiduciary services, fund administration, and management and investment advice compliance.

In this role the Senior Manager will be responsible for leading and overseeing the Enforcement & Intelligence team in respect of efficient and effective management of the licence application process and the process for assessing individuals proposed to act in controlled functions.

Key Accountabilities:

• Lead or otherwise participate in meetings with potential new applicants to the organisation, and regulated entities wishing to extend permissions, (to conduct regulated activity or designated business) and ensure that the contents of meetings are accurately recorded and, where necessary, resulting action points are followed-up on
• Lead or otherwise participate in meetings with proposed controlled function holders to assist with the assessment of fitness and propriety of the individuals concerned, and ensure that the contents of meetings are accurately recorded and, where necessary, resulting action points are followed-up on
• Develop and maintain effective relationships with regulated entities, relevant industry bodies and government departments
• Managing and overseeing officers of the organisation to respond to internal and external queries on the requirements and the procedures for licence applications and the assessment of persons being proposed in controlled functions of regulated entities
• Oversee, advise and support the officers of the Division to draft, and obtain approval for, responses to requests for information from other regulators and from other competent authorities, in accordance with the legislation, relevant procedures and the organisation's data protection policy
• Ensure that any published information and guidance on the work of organisation is accurate and up to date
• Provide effective leadership and business management within the organisation including managing staff effectively and ensure efficient use of resources
• Ensure internal systems and procedures are adhered to including the organisation's procedures and the intelligence systems, where appropriate
• Drive a culture of continuous improvement and development throughout the team with Personal Development Plans, clear goals and regular 1:1s
• Comply with the requirements set out in the Staff Handbook and other operational policy and procedures issued by the organisation
• Set an example to staff to develop and maintain a positive professional culture within
• Assist the Head of Enforcement & Intelligence to assess and manage risks within the Division and the organisation
• Ensure all matters considered material to the discharge of the Division's duties and responsibilities are raised with the Head of Division in a timely manner
• Contribute actively to strategy setting, risk horizon scanning and to a positive culture of the organisation
• Embrace and support a risk-based approach across the organisation, including ongoing triage of work efforts and resources to achieve completion of highest priorities
• Be a change agent: actively support and adopt changes organisation-wide and in the Division, in the continued drive for improvements and automation
• Volunteer / take on additional projects / tasks to support the Head of Division
• Collaborate with staff across the organisation to achieve efficient and effective implementation of strategic priorities and divisional work plans

The Ideal candidate for the Senior Manager will have:

• Extensive relevant experience in an enforcement, operational, legal, compliance, assurance, risk or audit role
• Hold a relevant professional qualification
• Proven experience in a leadership /management role with the ability to work in a collaborative style
• Extensive experience of working on complex investigations, inspections or assurance work, ideally in the context of financial services and / or in a professional disciplinary context
• Extensive working knowledge of the Financial Services sector and associated legislation, regulation and guidance including understanding of the broader finance industry, including trends and developments
• Strong people management, coaching and leadership skills including the ability to manage through people to deliver the organisation's objectives
• Proven ability to build and maintain working relationships with stakeholders at all levels including the ability to influence and negotiate
• Strong analytical skills, ability to quickly and accurately assimilate information, to consider any associated risks and to summarise the information effectively
• Ability to prepare, lead and conduct meetings with senior stakeholders both internally and externally including dealing with difficult / contentious issues and having the ability to challenge on these