Temporary / Contract Jobs in Guernsey

Temporary Compliance Officer

Job Ref: LF 20298
Posted: 2018-08-08
Leapfrog Jobs

Our client, a long-established wealth manager, is seeking to recruit a Temporary Compliance Officer for an initial period of 3 months, with the potential of extension for the right candidate.


Guernsey, Channel Islands


Support the compliance function with surveillance and transaction monitoring, as well as other areas as required.
Perform checks as required as part of a rolling annual compliance monitoring programme including random checks of adherence to investment mandates and completion of account opening documentation.
Conduct surveillance of account activity patterns for the purpose of detecting unusual and/or potentially suspicious transactions.
Prepare reports for use in Guernsey and London.
Monitor transactions with non-equivalent jurisdictions.
Check and maintain records with regard to information received concerning persons convicted of criminal offences or suspected of other offences and the monitoring of sanctions lists.
Review and monitor staff transactions.
Maintain local Compliance Manuals to ensure they are up to date, reflecting current working practices and relevant regulatory requirements.
Keep the Head of Compliance informed of significant regulatory developments and changes and provide impact analysis and recommendations for such changes.
Ensure the reporting of complaint, breaches, errors and omissions processes.
Review, amend and produce policies based on Group and Wealth Management Policies as necessary.
Work with Guernsey Documentation team to support CDD and regulatory matters.
Liaise with relevant Portfolio Directors to remove any documentation/ risk assessment deficiencies.
Assist Portfolio Directors with any queries on account opening requirements.
Perform a qualitative review of new prime intermediaries prior to approval.

Skills / Qualifications

The ideal candidate will be educated to at least A Level standard or equivalent, with a minimum of 3 years’ experience in a similar role. Applicants will have significant experience in a specialist area in the fields of Regulation, Compliance and AML. The successful candidate will have excellent communication, IT, organisation and time management skills.

How To Apply

For further details please call 711188, or email jobs@leapfrogjobs.com
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