Deputy Client Compliance Officer - Saint Peter Port, United Kingdom - LRI Invest

LRI Invest

Verified Company

Saint Peter Port, United Kingdom

2 days ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

The Role & Key Responsibilities:

To act as a member of the Client Compliance team, reporting to the Client Compliance Officer and 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 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.

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 Client 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).

Self-starting and capable of working both within the team and with light

supervision.