14 Aug 2015
Compliance officer, Guernsey
Job DescriptionOur client is a funds and fiduciary services company seeking to recruit a Compliance officer. Key responsibilities will include: ? Understanding the regulatory requirements for the corporate licences held such as the Fiduciary, Protection of Investors, Funds, Data protection and others. ? Understanding the compliance procedures and company policies necessary to fulfil the compliance functions on a day to day basis. ? Reviewing and reporting the findings for various compliance reviews in line with the adopted Trust and Company, AML/CFT and Fund compliance monitoring programmes ? Maintaining and updating the various compliance registers and logs that evidence the compliance department has completed appropriate checks in accordance with GFSC requirements. ? Pro-actively participate in updating Fund Management compliance monitoring programmes as necessary for efficiency and regulatory changes. ? Maintain and update any regulatory changes to the Country sanctions list in conjunction with the compliance director and/or assistant ? Periodic reviews and reporting all exceptions to the reconciliations of the client bank accounts ? Periodic reviews and reporting all exceptions to the reconciliations of the investment accounts ? Maintain the procedures register and ensure that all new or updated procedures have been presented to the Board for ratification ? Completing various checks on New Business relationships at take on to ensure client risk profiling is accurate and correct. ? Checking all electronic data against their Computer data base to ensure there are no matches for restricted individuals or company?s for fraud, drugs or any criminal activity as described in the AML/CFT regulations. The successful candidate will have: ? Relevant previous experience. It would be an advantage if there was a combination of Trust and company and fund compliance knowledge. ? Knowledge and experience with Excel and word. ? Knowledge of Funds and Licensees (Conduct of Business) Rules 2014.
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