29 Sep 2020

Compliance Officer & MLRO

Ref 33154

A global asset manager is seeking a Compliance Officer & MLRO to act as a key business contact for regulatory and operational compliance, whilst promoting and maintaining a strong compliance culture in the office. 

Key Responsibilities:

  • Liaise with and report to Head of Compliance
  • Compliance Advisory, key contact for business queries on all matters relating to Guernsey compliance and regulation, including AML.
  • Preparation of regulatory reports and ensuring all regulatory and statutory notifications and submissions are made on time
  • Maintenance of the breaches register, monitoring of investment restriction breaches and coordinating with the Custodian
  • Review and update of Compliance Procedures/Policies and ownership of the compliance monitoring programme
  • Annual review and update of Compliance Manual and AML/CFT Guidelines
  • Preparation of reports to management and fund boards and implementation of any Board decisions
  • Act as MLRO and MLCO, keeping abreast with the Guernsey regulations on AML/countering the financing of terrorism and making changes to policies, procedures, and controls as appropriate.

The desirable candidate will have 5+ years, compliance experience and have a detailed knowledge of the Guernsey regulatory environment including regulation of the investment funds sector.

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