Compliance Manager
Job Ref: LF
40251
This is a fantastic opportunity to join a dynamic, independent financial services firm in a key compliance role. The successful candidate will support the business across all areas of regulatory compliance, with responsibility for maintaining and evolving the firm’s compliance monitoring programme and supporting the Head of Governance in ensuring adherence to local legislation and internal controls.
Location
Responsibilities
Duties for this role include, but are not limited to:
- Conducting compliance monitoring programme (CMP) testing and reviewing testing completed by the team.
- Updating the CMP in line with legislative or business changes.
- Managing and maintaining key regulatory registers (e.g. breaches, complaints, PEPs, conflicts, declined business).
- Supporting new business take-on processes, including review of PEP assessments and GFSC authorisation portal use.
- Ensuring all regulatory filings are completed accurately and submitted on time.
- Attending internal committees and providing compliance insights.
- Reviewing and preparing compliance board reports.
- Leading day-to-day activities of the compliance team, including 1:1s and performance reviews.
- Delivering compliance training and supporting project work as required.
- Acting as Compliance Officer, MLCO, or MLRO for client entities where appropriate.
Skills / Qualifications
The ideal candidate should hold or be working towards a recognised compliance qualification (e.g. ICA) and have at least three years' experience in a compliance or business support function. A sound knowledge of Guernsey regulatory frameworks, including AML/CFT/CPF and the relevant Fiduciary and Protection of Investors laws, is essential. The ideal candidate will be highly organised, detail-oriented, and confident in working with senior leadership and stakeholders across the business.
How To Apply
For a full job description or further information on this role please call 711188, or email [email protected].If you wish to apply for this role, please submit your CV via the Apply Now button below.