Compliance Professional
Job Ref: LF
28486
An excellent opportunity for a compliance professional to join our client, a dynamic and forward-thinking global investment management firm! This role is ideal for someone who thrives in a fast-paced environment and has a keen eye for regulatory detail.
Location
Guernsey,
Channel Islands
Responsibilities
Duties for this role include, but are not limited to:Providing support to the Compliance Officer and wider business in monitoring and ensuring adherence to compliance standards.
Maintaining and updating local Compliance Manuals to reflect current regulatory requirements and business practices.
Conducting periodic compliance monitoring reviews and reporting findings to senior management.
Keeping the Head of Compliance informed of significant regulatory developments and changes, offering impact analysis and recommendations.
Ensuring adequate compliance arrangements for delegated accounts or outsourced functions.
Managing the reporting of complaints, breaches, errors, and omissions.
Reviewing, updating, and implementing compliance policies in line with Group and Wealth Management standards.
Representing the firm in local trade associations or industry groups to contribute to regulatory discussions.
Supporting the Documentation team with CDD and regulatory matters.
Liaising with Portfolio Directors to address documentation and risk assessment deficiencies.