The successful candidate for this role within a prestigious financial services organisation will:

• assist with the take-on, restructuring and exit of funds
• be responsible for customer due diligence
• conduct initial review of revised fund documentation
• collate data and prepare internal documentation and checklists

Candidates should have experience in a relevant compliance or controls role and also in new business take-on in a fund administration or custodian trustee environment.

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A company connected with the finance industry, requires an MLRO in its fiduciary department for 4-6 months (at least until the end of June), maybe longer.  Fiduciary experience would be advantageous but is not essential.

Ideally, candidates will be able to work full time but a minimum of 30 hours per week may be considered.

Are you an experienced, dynamic, hardworking and entrepreneurial individual, who can meet the demands of a fast-moving and expansionary environment? 

The roleholder, within this investment management business, will ensure the compliance framework is robust and effective, provide guidance on compliance matters and deliver the annual compliance plan.

Candidates should have performed a compliance role within an asset management firm with detailed knowledge of UCITS, Guernsey regulation, data protection, AML and risk.

The Guernsey compliance team which has this vacancy:-
- Fills the statutory roles of Compliance Officer and Money Laundering Reporting Officer to 5 businesses and to managed entities including a bank and Protection of Investors licensees
- Provides advice to those businesses on regulatory obligations
- Performs compliance monitoring to meet regulatory requirements and those of shareholders, boards and committees
- Provides internal controls on staff personal account dealing etc
- Undertakes investigations and provides reports to boards / committees

The new incumbent will:-• Operate and co-ordinate Guernsey’s central compliance functions (other than financial crime) so that the Compliance Officers appointed to specific businesses can focus on their responsibilities to those businesses.   For example:
• develop the Compliance Monitoring Programme across the businesses so that compliance with regulatory obligations is monitored and breaches are identified, reported and corrected;
• develop and co-ordinate policies and procedures owned by the Guernsey compliance function to ensure that regulatory obligations are met;

In order to fill this role you will have:-

• Experience of a range of financial services businesses and regulatory requirements applicable to them
• ICA Diploma or other relevant qualification.