07 Oct 2021

Compliance Officer (Manager level)

Ref 33950

Our client is seeking an individual with 5 years relevant experience in private equity/venture capital and fund/investments to join their team as a Compliance Assurance Officer.

The role holder will support the Senior Manager for Compliance by providing day to day compliance advice and monitoring services primarily to licensed investment business, although may include some fiduciary business, to include the following:

  • Compliance advice and support - handle all day-to-day queries from the business regarding regulatory and AML/CFT obligations of the business, its clients, its directors and employees.  Promote good communication between Compliance and the business
  • Record-keeping – manage client data on the various systems.
  • Relationship with regulators - work with the directors and senior management to build and maintain open and co-operative relationships with the GFSC and other relevant regulators; co-ordinate submission of regulatory reports, returns and notifications
  • Regulatory change - work with the directors to identify and prepare for the business impact of relevant new or amended laws, regulations, rules and guidance
  • Compliance monitoring – assist in maintaining a risk-based compliance monitoring programme including relevant tests to monitor the business' compliance with regulatory and AML/CFT obligations and internal policies, procedures and controls and the effectiveness of those policies, procedures, and controls.  
  • Management and Board reporting - provide formal reports to the Board at quarterly Board meetings and provide relevant reports and updates to the management committee
  • Compliance Officer / MLRO – to aspire to act as Compliance Officer and/or MLRO to POI-regulated entities (depending on candidate’s experience and skillset)
  • Nominated Officer - act as nominated officer and assist the MLRO with their duties

The desirable candidate will hold a ICA Certificate/Diploma in AML or Compliance (or equivalent qualification), have an extensive knowledge of compliance and the Guernsey regulatory and AML/CFT environments and be a motivated team leader.


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