Assistant Manager, Client Compliance
IQ-EQ
- St Martin, Guernsey
- Permanent
- Full-time
- Assist the boards in the maintenance and continuous improvement of the firm's AML/CTF/CPF Business Risk Assessment and operational risk assessment
- Preparation of quarterly/periodic Board reports;
- Carrying out Compliance Monitoring Testing, conducting root cause analysis and identifying suggest management actions where findings are identified
- Liaise with colleagues in client service teams in respect of client deliverables, CMP findings and regulatory returns
- Delivering training in respect of existing and updated policies and procedures, in conjunction with colleagues in other departments where appropriate;
- Assisting in ensuring that regulatory developments are considered and incorporated within managed licensees' policies and procedures
- Maintaining ML / FT registers to include:
- SAR register
- ML enquiries register
- Sanctions register
- Client Payment Request Form register
- FIS Liaison/Request for Information register
- Responding to business internal queries, for example, those relating to the Handbook for Countering Money Laundering and Financing of Terrorism (the Handbook), Sanctions or Group Compliance PPCs etc;
- Ensuring timely submission of annual and periodic GFSC returns by the appropriate team;
- Assisting for example in the timely response to GFSC Section 23, FIS Reg 2, 2A, Production Orders, Fraud Notices etc, as required;
- Handling requests and queries from regulators/auditors.
- Ensuring that all relevant records and registers are maintained;
- Conducting compliance training as required by the business;
- General compliance reporting to local and Group management;
- To hold Nominated Officer appointments for client entities
- To hold or progress towards holding MLRO and MLCO appointments for client licensees
- Education / professional qualifications
- ICA Diploma or equivalent
- Evidence of Continued Professional Development
- Background experience
- Previous Compliance experience in the funds/investment sector
- Desirable - Previous experience of holding prescribed positions
- Computer / program knowledge
- Strong Microsoft Office skills
- Experience of using screening tools such as Worldcheck