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Assistant Compliance Officer - Jersey

Purpose of Role Summary:

The main purpose of the role will be to lead Compliance Monitoring reviews and assess various business processes for adherence to regulatory requirements and produce a final report documenting key findings and recommendations.

Key Responsibilities:

  • Undertake Compliance Monitoring of material risks as per agreement within Compliance Monitoring Plan (CMP), including Regulatory File Review.
  • Conduct regulatory file reviews including analysis of areas within the business, regulatory themes and regulatory change.
  • Provide oversight and challenge to ensure relevant business processes are established and maintained in accordance with regulatory requirements to conduct detailed analysis of regulatory compliance issues and proposals.
  • Support RIMI Compliance Officer with the production of reports and management information, committee, project representation and staff training

Key Competences / Skills / Experience / Behaviours Required

  • Skills and knowledge
  • IT literate with a good working knowledge of Microsoft Outlook, Word, Excel, Visio and Access
  • An awareness of and the ability to review and interpret regulations, specifically JFSC
  • Knowledge of the wealth management industry would be advantageous but not essential
  • Good communication skills, both verbal and written
  • Inquisitive & analytical mind-set
  • Strong organisation & co-ordination skills; with an attention to detail
  • Ability to deliver on time
  • Excellent verbal and written communication skills

Compliance

Jersey

2636

 

Compliance

Jersey

2636

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