Senior Manager, Risk &Compliance

Location: Guernsey
Schedule: Monday to Friday 36.25 hours per week

Hybrid

 

Intro:

The Senior Manager will play a key role with the Compliance Team in ensuring that the Guernsey business of CSC complies with applicable laws, regulations, supervisory requirements, internal policies and procedures through internal controls and actions; with the ultimate objective being to provide assurance to management and protect the Group’s good name and reputation, as well as to ensure that all activities undertaken are in accordance with the various laws and regulations pertaining to the Guernsey regulatory licenses. 

As a result, the responsibilities encompassed by the role are wide-ranging and the Senior Manager will be given consistent opportunities to:

•              deepen their understanding of the Guernsey regulatory landscape;

•               be a key contributor to important internal operational processes and projects; and

•              understand how compliance requirements interact with a complex financial services business. 

It is important to note that the role of Senior Manager will have leadership components as the individual holding that role will be expected to take the lead on key programmatic activities and to contribute at a high level to various local and group-wide projects. 

Although the exact scope of responsibilities will be determined after the Senior Manager has been on-boarded, and will likely evolve over time, the following will be likely areas of focus. In addition, there will be the opportunity for the candidate to take on the prescribed positions such as MLCO ad DMLRO.

The Key Responsibilities for the role are noted below and as a Senior Manager you will also be expected to undertake any such duties that are deemed a reasonable requirement, for example, participating in any relevant projects that are related to the role.

Some of the things you will be doing (either as lead or assist as appropriate):

Take a leadership role with regards to the Compliance Monitoring Programme  Take a lead role with the development of the Business Risk Assessment and other assessments needed to implement our risk management methodologies Oversee the completion of annual regulatory returns Likely acting as DMLRO and supporting investigations of suspicious activity reports and handling and reporting these in the MLRO’s absence Provide significant support when dealing with regulatory inspections and thematic reviews Contribute to the development of policies and procedures  Act as a resource for escalated compliance queries Manage relevant registers 

In addition, the individual will be expected to:

Consistently maintain good knowledge of Guernsey regulatory requirements and expectations, with a focus on a detailed understanding of the GFSC Handbook on Countering Financial Crime and Terrorist Financing and how its provisions impact the business;  Be a good example to the rest of the Compliance team and the wider business in terms of always looking to identify ways that policies and procedures can be improved and escalating any concerns, as well as always adhering to the requirements under the CSC Guernsey Corporate Governance Charter and the firm’s Code of Conduct etc.  Ensure that both the CSC internal procedures as well as the Guernsey anti-money laundering and terrorist financing regulations are complied with to the extent required by your role, especially in respect of the reporting of suspicious activity or transactions, client due diligence and record keeping.

What technical skills, experience, and qualifications do you need:

Previous compliance experience, preferably at the grade of Manager or  Senior Manager or equivalent; Previously having held prescribed roles such as MLCO preferred Prior relevant experience in regulated finance or professional services; Must be able to demonstrate sound organisation skills and supervisory experience; Possess a solid understanding of the business and regulations applicable; Qualified by experience, either directly in compliance or in the legal or advisory services fields Strong technical IT skills.

#LI-MM1 #Hybrid