Client Compliance Officer - Saint Peter Port, United Kingdom - Apex Group

Apex Group

Verified Company

Saint Peter Port, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Client Compliance Officer

Location:
St Peter Port, Guernsey

Date Posted:
Feb 17, 2023

Description

Job Description**
Client
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Compliance
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Officer

Role
Location:
Guernsey, Channel Islands

Department:

Client ComplianceCompany**:
Apex Fund and Corporate Services (Guernsey) Limited ("Apex Guernsey")

Employment
Type:
Permanent, Full Time

The
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Role
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&
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Key
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Responsibilities:To act as a Senior member of the Client Compliance team, working alongside the Apex Guernsey Compliance department, contributing towards the development and enhancement of the overall Compliance function. This will include providing support to Senior Management and Operational staff by providing compliance advice and guidance.

Key responsibilities include:

To act as a senior member within the Compliance team.
To act as named representative of administered licensed client entities.
Preparing and presenting periodic Compliance reports for administered client entities.
To ensure the adoption of relevant compliance policies by the administered licensee client entities.
Assisting in the review and completion of the compliance monitoring programme for administered licensee client entities.
Ensuring the progression of any compliance monitoring findings through to resolution by way of proactive coordination with the 1st line of defence teams.
Reviewing all regulatory correspondence and acting as a principle point of contact for the regulator.
Preparing and reviewing regulatory submissions.
Promoting a positive compliance culture through engagement with staff.
Assisting with the provision of training and / or advice to staff.
Providing key management information when required, including but not limited to the Apex Guernsey Compliance Officer, the Country Head of Compliance Guernsey, and Senior Management.
Attend and present to the Audit, Compliance and Risk Committee on all matters client compliance.
Ensuring the timely provision of information and documentation as required by the auditors of the administered licensed client entities.
Providing support and cover for the Apex Guernsey Compliance Officer as and when required.
Keeping abreast of key regulatory developments and industry standards.

Skills Required:

Experience within a relevant compliance role (within a fiduciary or investment capacity).
Ability to assess business requests accurately and promptly, delivering pragmatic and timely solutions to compliance related queries and / or identified risks.
Keen attention to detail and good communication skills.
Strong organisational skills.
Competent analytical, research and investigative skills.
Proficient in Microsoft software (including; Word and Excel).
Selfstarting and capable of working both within the team and with light supervision.