Compliance Manager

The Compliance Manager is part of the Governance, Risk and Compliance (“GRC”) department. Working primarily in support of the MLCO for matters relating to TCB, a thorough understanding of legal and regulatory compliance requirements is required, along with broader appreciation of risk and corporate governance best practice.

Location: Jersey
Before you apply: Five years’ Jersey residency required for this role, as required by Control of Housing and Work (Jersey) Law 2012.

The type of person we are looking for:

The post holder will be responsible for ensuring business operations and procedures comply with regulations and internal policies. The successful candidate will also ensure they perform a range of duties that encompass both Risk and Compliance that supports an effective compliance function and the work of the client teams.

Principal accountabilities: 

• Support the MLCO in overseeing business operations relating to compliance including relevant policies and procedures


• Responsible for people management such as;
     o      Performance reviews, personal development plans etc
     o      Coaching & mentoring the team
     o      Reviewing work & providing constructive feedback
     o     Acting as a role model for the team and the wider business


• Evaluate and map internal policies against Jersey law and regulations


• Assist the MLCO to monitor and assess the efficiency of the compliance program, control systems and policies and procedures, identifying risks or issues, and recommending improvements to the MLCO as required


• Assist in preparing reports for executive management and the Board(s) of Directors regarding overall compliance


• Assist GRC preparations for JFSC inspections/company audit/compliance reports


• Maintain GRC compliance records, and manage registers for breaches, errors and complaints


• Act as an interface with regulators and auditors


• Horizon scan, and ensure effective dissemination of statements/guidance issued by the JFSC, current regulatory initiatives, and emerging trends


• Review Risk Committee (“RSC”) submissions as required regarding regulatory compliance and risk


• Oversee completion of RSC action points within timescales/escalating as necessary


• Manage the obliged person regime. Liaise with client teams, attend service review meetings, prepare material for external parties and conduct follow-up meetings


• Undertake employee training sessions on compliance and risk issues


• Conduct such duties as the management may at times reasonably require

The knowledge and skills required:

• Practised in operational compliance and engaging with client facing staff
• Strong PC skills with a proficiency in Microsoft Office, including creating spreadsheets, working with formulas and writing professional reports. Attention to detail and ability to analyze information
• Compliance qualification, preferably to Diploma level
• Minimum of 5 years’ experience as a Compliance Officer, Compliance Manager or similar position
• Strong knowledge of industry processes and regulations
• Excellent communication and interpersonal skills
• Analytical mindset with good organisational ability
• CMI qualification or willingness to undertake management training

 To find out more or have a confidential discussion, please email careers@hawksford.com

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