16 Jan 2020

Compliance Analyst

Ref 32885

Our client is seeking a Compliance Analyst to join their team for an 8-month period. The role holder will assist with a range of regulatory matters and undertake the quarterly compliance monitoring programmes for regulated clients, with a view to becoming a key advisor to the business and clients on regulatory compliance matters. 

Key responsibilities:

  • Completion of compliance monitoring programmes for a range of licensed and regulated fund structures
  • Assist with information gathering and initial preparation of compliance reports based on compliance monitoring activity
  • Assist with any regulatory returns, submissions and notifications
  • Act as first point of contact and oversight for any day-to-day compliance related queries from client facing teams
  • Assist in the maintenance and monitoring of various regulatory registers, including breaches and complaints
  • Assist in monitoring any regulatory and legislative updates and assist in updating and developing policies and procedures
  • Assist with information gathering and completion of routine Audit queries
  • Maintain a working knowledge of key regulations and obligations

The ideal candidate will have good communication and relationship building skills, have an analytical approach with good research skills, good time management and organisational skills, be a team player and have some knowledge of Guernsey Authorised and Registered Scheme Rules and the wider Investment and Fiduciary sector regulatory framework.


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