Compliance Officer

  • Compliance
  • Guernsey
  • Permanent
  • Full Time
  • 33722


Postholder will act as CO, MLRO and MLCO and protect firm from compliance, financial crime, regulatory, reputational and operational risk; provide compliance advice and support; ensure adherence with policies and regulations and advise of any changes; ensure that key licences, permissions and authorisations are maintained and effective relationship maintained with regulator and International Stock Exchange; mitigate risk; escalate and track corrective action in respect of regulatory/legal/risk controls through to resolution; interpret regulatory rules, guidance and practice; build and maintain a robust compliance framework; identify/report issues and monitor to conclusion such as complaints/breaches; undertake Compliance Monitoring Programmes; receive internal Suspicious Activity Reports and investigate and keep register up to date and record decision made; ensure Financial Liaison Notices and Court Orders are reviewed and actioned; provide MI; ensure that policies and procedures meet current regulatory requirements and communicate any changes; ensure compliance induction training and update training provided; oversee audits and regulatory on-site examination; prepare regulatory returns and submissions; manage reputational and operational risk.

Candidate must have detailed knowledge of laws and extensive experience in all types of Funds; excellent organisational skills, creative but pragmatic approach and the desire to challenge the status quo to drive efficiency, increase performance and regulatory compliance; relationship builder; high level of self motivation and discipline; ability to use analytical skills to solve problems/design solutions in complex/sensitive situations within the regulatory compliance framework; recognised internally and externally as a compliance and financial crime expert with excellent technical knowledge; professional compliance qualifications/a number of years experience in a compliance and financial crime (MLRO/MLCO) role; strong communication skills.


For more details contact Eleanor Lock

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Compliance Officer

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