Compliance Jobs in Guernsey

Client Monitoring and Specialist Officer

Job Ref: LF 19946
Posted: 2018-08-08
Leapfrog Jobs

Our client, a large private bank that serves retail, private and corporate clients are seeking to recruit a Client Monitoring and Specialist Officer for the CDD Unit Client Monitoring team.


Guernsey, Channel Islands


Review and take appropriate actions with regard to client filtering, transaction filtering and monitoring.
Investigate alerts, liaise with the Relationship Managers, and record the outcomes in the relevant system.
Report the results of filtering and monitoring activities and be able to escalate and create action points where required.
Undertake visits to the offices of Reliable Introducers in order to perform due diligence checks on their customer files.
Coordinate the diary system for the reviews, plan the visits, document the outcome of the review, create action points where required and escalate issues of concern.
Monitor CDD core functions to enable 2LOD testing.
Maintain various statistics and periodic production of management reports pertaining to filtering, monitoring and other CDD activities and issues.
Assist in ensuring that the CDD Unit Monitoring team is well organised, processes are well described and performed on a timely and consistent basis and at the right quality levels.
Acts as a specialist and SPOC for any new or amended local or group policies and procedures.
Coordinate the implementation of new or amended policies and procedures ensuring that all relevant databases are maintained
Work closely with colleagues in Relationship Management, Compliance, Risk, Legal and the COO department, under the management of the Head of the CDD Unit, to ensure that processes between departments run smoothly, efficiently and are effective.
Handle tax reporting information and assist with queries relating to tax reporting, such as QI, CRS, FATCA.
Work closely with the MSD SPOC and assist with the coordination of system testing in respect of new releases and fixes.
Participate in the relevant team and committee meetings, representing the CDD Unit Monitoring team where so instructed regarding topics directly related to its activities.
Provide support to the Client Acceptance and File Review team and MSD SPOC as and when required.
Assist the Head of the CDD Unit with ad hoc projects.
Such other duties as so instructed by the Head of the CDD Unit.

Skills / Qualifications

The ideal candidate will be educated to minimum A Level Standard or equivalent, with good English and Math. Candidates will possess a minimum of 3 years’ experience a similar role dealing with Transaction Monitoring and Sanctions Screening and hold a relevant professional qualification. Candidates will demonstrate a range of experience and knowledge in Due Diligence, Local AML Regulations, QI, CRS and FATCA, in addition to solid IT abilities, strong organisation and communication skills, both written and verbal. The successful candidate will demonstrate the ability to effectively manage time, prioritise tasks and meet deadlines, whilst working within a team as well as independently. This role will suit a highly motivated, proactive and meticulous team player with excellent interpersonal skills.

How To Apply

For further details please call 711188, or email
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