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Compliance Officer (1)

  • Compliance
  • Guernsey
  • Permanent
  • Full Time
  • 33731

Description

Purpose of role is to ensure that the activities of regulated Guernsey entities are undertaken in accordance with the regulatory and statutory requirements and in accordance with Group procedures.  Duties involve providing reports regularly including Companies “Risk and Compliance” Report and presentation to Directors at Local Boards and Governance Meetings; focal point to embed Group led Risk and Compliance initiatives; maintain relationships with GFSC; undertake MRLO duties; undertake GFSC approvals and GFSC Approved Persons approvals; develop and revise policies and procedures for compliance program to prevent illegal or improper conduct; respond to alleged breaches of rules/regulations, policies, procedures by evaluating/recommending initiation of investigative procedures; act as an independent review and evaluation body to ensure compliance issues appropriately investigated and resolved; undertake Regulatory Horizon Scanning and deliver training on Risk and Compliance Changes; identify potential areas of compliance vulnerability and risk, develops and implements corrective action plans and provide guidance on how to avoid/deal with future situations; ensure proper reporting to enforcement agencies; monitor performance of Compliance Monitoring & Testing Program and take appropriate steps to improve effectiveness. 

Candidate will have at least 5 years’ experience in a Compliance and/or regulatory role; knowledge and experience of the alternates market in financial services both UK and globally; leadership ability, ability to communicate effectively; familiarity with financial services laws, regulations, and standards, understanding of risk management, and performance improvement; motivated and driven.

RECRUITMENT CONTACT

For more details contact Eleanor Lock

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Compliance Officer

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