Compliance Manager
Langham Hall
Compliance Manager
DescriptionThis is a great opportunity for an individual to make a real difference as part of a dedicated and professional growing team.
Key Responsibilities\nReviews and signs off complex CDD reviews for structures with multiple levels, different entity types and higher risk factors\nReviews and signs off EDD checklists ensuring high risk factors have been correctly identified and appropriately mitigated\nDemonstrates a detailed understanding and knowledge of CDD requirements and the Handbook\nReviews and recommends updates to the company’s CDD manual and policies and procedures in line with changes to the Handbook \nReviews and signs off follow up action taken for a positive hit from the screening process, escalating where necessary\nReviews the results of transaction monitoring and signs off findings to be circulated to senior team, considering the results of the testing and makes recommendations for appropriate training\nEnsures initial and periodic reviews are undertaken in accordance with the policies and procedures and action points are followed up on timely basis\nReviews CMP reports and provides feedback on findings\nPrepared CO reports for the board for review and sign off by the CO\nConfidently summarises key regulatory developments and the impact on the business\nLeads the new business process from a compliance perspective where necessary\nReviews client risk assessments\nEnsures tasks are appropriately delegated within the team\nProactively liaises with the business to clear and outstanding action points and assists the administration team where necessary\nOversees the compliance mailbox to ensure deadlines are being met as agreed\nActs as first point of contact for complicated queries and first point of escalation in the event of any issues\nAble to answer technical queries from the team with a strong knowledge of the Handbook and policies and procedures manual\nResponsible for ensuring deadlines are met and KPIs are hit\nHolds regular 1-1s with direct line reports and provides guidance on how to achieve the next level of skills\nSets annual objectives and completes formal appraisals twice a year or all direct reports\nEnsures the training needs of the team are managed and communicated, monitoring training to ensure team members are attending the right sessions\nSupports junior members in dealing with any performance issues within the team\nEnsures issues are dealt with in a confidential and professional manner, seeking guidance from senior management or HR as required\n
Experience / QualificationsThe candidate is expected to have a minimum of three-years relevant experience. Educated to at least ‘A’ level standard or equivalent, preferably, completion of a degree or similar. The candidate will be expected to have a relevant AML/compliance qualification (e.g., ICA Compliance Diploma/Certificate or AML Diploma/Certificate)
Department: Compliance
Employment Type: Full Time
Location: Guernsey
DescriptionThis is a great opportunity for an individual to make a real difference as part of a dedicated and professional growing team.
Key Responsibilities\nReviews and signs off complex CDD reviews for structures with multiple levels, different entity types and higher risk factors\nReviews and signs off EDD checklists ensuring high risk factors have been correctly identified and appropriately mitigated\nDemonstrates a detailed understanding and knowledge of CDD requirements and the Handbook\nReviews and recommends updates to the company’s CDD manual and policies and procedures in line with changes to the Handbook \nReviews and signs off follow up action taken for a positive hit from the screening process, escalating where necessary\nReviews the results of transaction monitoring and signs off findings to be circulated to senior team, considering the results of the testing and makes recommendations for appropriate training\nEnsures initial and periodic reviews are undertaken in accordance with the policies and procedures and action points are followed up on timely basis\nReviews CMP reports and provides feedback on findings\nPrepared CO reports for the board for review and sign off by the CO\nConfidently summarises key regulatory developments and the impact on the business\nLeads the new business process from a compliance perspective where necessary\nReviews client risk assessments\nEnsures tasks are appropriately delegated within the team\nProactively liaises with the business to clear and outstanding action points and assists the administration team where necessary\nOversees the compliance mailbox to ensure deadlines are being met as agreed\nActs as first point of contact for complicated queries and first point of escalation in the event of any issues\nAble to answer technical queries from the team with a strong knowledge of the Handbook and policies and procedures manual\nResponsible for ensuring deadlines are met and KPIs are hit\nHolds regular 1-1s with direct line reports and provides guidance on how to achieve the next level of skills\nSets annual objectives and completes formal appraisals twice a year or all direct reports\nEnsures the training needs of the team are managed and communicated, monitoring training to ensure team members are attending the right sessions\nSupports junior members in dealing with any performance issues within the team\nEnsures issues are dealt with in a confidential and professional manner, seeking guidance from senior management or HR as required\n
Experience / QualificationsThe candidate is expected to have a minimum of three-years relevant experience. Educated to at least ‘A’ level standard or equivalent, preferably, completion of a degree or similar. The candidate will be expected to have a relevant AML/compliance qualification (e.g., ICA Compliance Diploma/Certificate or AML Diploma/Certificate)
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