Officer - Compliance and Investor Due Diligence

3 weeks ago

Chalfont Saint Peter, United Kingdom Alter Domus Full time
The post holder will be focussed on compliance tasks related to anti-money laundering ("AML"), countering the financing of terrorism ("CFT") and countering proliferation financing ("CPF"), including the monitoring of compliance with relevant investment industry regulations in respect of Alter Domus (Guernsey) Limited ("ADG") and its clients in what is a rapidly developing business. The post holder will report to the Client Compliance Manager in Guernsey.

JOB DESCRIPTION:

• Ensuring that client and investor due diligence is collected to the appropriate standard in order to comply with the Guernsey Financial Services Commission's ("GFSC's") Countering Financial Crime Handbook and ADG's internal policies and procedures;
• Identifying areas of risk and ensuring such risks are documented and mitigated where possible, and assessing overall levels of risk posed by clients and investors;
• Where files are found to be deficient, liaising with key stakeholders across the business to ensure all necessary information and documentation is obtained in a timely manner;
• Monitoring the remediation of deficient files and maintaining schedules recording any findings from reviews;
• Assisting the Compliance team in maintaining internal policies and procedures to ensure ADG's compliance with international standards and local regulatory obligations;
• Assisting with the monitoring of the output of ADG's screening system and conducting research on relevant parties where potential adverse matches are identified;
• Providing day to day support/guidance to the staff of ADG as required in respect of compliance and AML/CFT/CPF matters;
• Assisting with compliance monitoring in accordance with the compliance monitoring programme, to ensure that ADG and its clients remain compliant with all applicable regulatory and AML/CFT/CPF requirements; and
• Assisting with internal and external examinations of ADG from key stakeholders such as clients, auditors and regulators.

YOUR PROFILE:

• You are analytical and have an inquisitive and questioning mind;
• You will ideally have financial services industry experience, or you have an interest in moving into the sector and possess transferable skills (although full training will be provided where required);
• You are ambitious with a high level of energy and commitment and an ability to manage multiple tasks;
• You possess team spirit, a capacity to build strong relationships and take initiative to act without waiting for direction when appropriate; and
• You have a good level of IT literacy with good Excel and Word skills.

What we offer

We are committed to supporting your development, advancing your career, and providing benefits that matter to you.

Our industry-leading Alter Domus Academy offers six learning zones for every stage of your career, with resources tailored to your ambitions and resources from LinkedIn Learning.

Our global benefits also include:
  • Support for professional accreditations such as ACCA and study leave
  • Flexible arrangements, generous holidays, birthday leave and graduation leave
  • Continuous mentoring along your career progression
  • Active sports, events and social committees across our offices
  • Support with mental, physical, emotional and financial support 24/7 from our Employee Assistance Program
  • The opportunity to invest in our growth and success through our Employee Share Plan
  • Plus additional local benefits depending on your location
Equity in every sense of the word

We are in the business of equity, in every sense of the word. For us, this means taking action to ensure every colleague has equal opportunity, valuing every voice and experience across our organisation, maintaining an inclusive culture where you can bring your whole self to work, and making Alter Domus a workplace where everyone feels they belong.

We celebrate our differences, and understand that our success relies on diverse perspectives and experiences, working towards shared goals and a common purpose. Thanks to the work of our Group DE&I Committee and network of DE&I Champions, we empower all of our people to be truly invested in the alternative.

We are committed to ensuring an inclusive recruiting and onboarding process. Please contact our hiring team if you require any accommodations to make our recruitment process more accessible for you.

  • Officer - Compliance and Investor Due Diligence

    2 weeks ago

    Saint Helier, United Kingdom Alter Domus Full time

    The post holder will be focussed on compliance tasks related to anti-money laundering ("AML"), countering the financing of terrorism ("CFT") and countering proliferation financing ("CPF"), including the monitoring of compliance with relevant investment industry regulations in respect of Alter Domus (Guernsey) Limited ("ADG") and its clients in what is a...

  • Compliance Officer

    1 week ago

    Saint Peter Port, United Kingdom LRI Invest S.A. Full time

    **Compliance** **Vice President** **Role Location**: **Guernsey, Channel Islands** Department: Regulatory Compliance Employment Type: Permanent, Full Time **The role**: Apex operate a three lines of defence model with Compliance being the second line of defence. This important role is primarily to support client licensees and to ensure that the activities...

  • Deputy Compliance Officer

    4 weeks ago

    Saint Peter Port, United Kingdom Apex Group Full time

    Deputy Compliance Officer Location: St Peter Port, Guernsey Date Posted: May 17, 2023 **Description** **The Role & Key Responsibilities**: Apex operate a three lines of defense model with Compliance being the second line of defense. This important role is primarily to act as a Deputy for the Compliance Officer of Apex to ensure that the activities of...

  • Client Compliance Officer

    4 weeks ago

    Saint Peter Port, United Kingdom Apex Group Full time

    Client Compliance Officer Location: St Peter Port, Guernsey Date Posted: Feb 17, 2023 **Description** **Job** Description** **Client** *** **Compliance** *** **Officer** **Role** **Location**:Guernsey, Channel Islands **Department**: ***Client Compliance**Company**:Apex Fund and Corporate Services (Guernsey) Limited (“Apex...

  • Administrator

    7 days ago

    Saint Peter Port, United Kingdom IQ-EQ Full time

    Company Description IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide. **Job Description**: This is a client-facing role where you will administer a portfolio of Corporate...

  • Deputy Client Compliance Officer

    7 days ago

    Saint Peter Port, United Kingdom LRI Invest Full time

    Description The Role & Key Responsibilities: To act as a member of the Client Compliance team, reporting to the Client Compliance Officer and working alongside the Apex Guernsey Compliance department, contributing towards the development and enhancement of the overall Compliance function. This will include providing support to Senior Management and...

  • Head of Internal Communications

    1 week ago

    Chalfont Saint Peter, United Kingdom RWS Group Full time

    Job Purpose: Corporate Development forms a significant part of RWS’s head office. The team is responsible for setting strategy, direction and governance for the Group’s internal and external communications, client experience, brand, marketing, digital experience and investor relations. Corporate Development also leads on RWS’s M&A programme and...

  • Part Time Cdd Senior Administrator

    4 weeks ago

    Saint Peter Port, United Kingdom TMF Group Full time

    **Job no**: 570658 **Work type**: Part time **Location**: Saint Peter Port, Guernsey, United Kingdom **Categories**: Client Onboarding **Office Location**: Guernsey We are looking for a Part time CDD Administrator to join our busy team. The primary focus of the role will be: - Acquiring a good knowledge of the different areas within TMF - Private...

  • Senior Compliance Administrator

    1 day ago

    Saint Peter Port, United Kingdom LRI Invest Full time

    Description Do you have compliance experience, and are you seeking a new job? Apex is looking for a full-time Senior Compliance Administrator, and the remote role comes with an attractive salary and benefits package. As a Senior Compliance Administrator, you will be a member of the Client Compliance team, working alongside the Apex Guernsey Compliance...

  • Senior Trust Officer

    4 weeks ago

    Saint Peter Port, United Kingdom IQ-EQ Full time

    Company Description IQ-EQ is part of a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide. **Job Description**: **Responsibilities** - Perform a wide variety of Trust administration tasks...

  • Senior Officer

    3 weeks ago

    Saint Helier, United Kingdom Alter Domus Full time

    About Us We are Alter Domus. Meaning "The Other House" in Latin, Alter Domus is proud to be home to 85% of the top 30 asset managers in the alternatives industry, and more than 5,000 professionals across 23 countries. With a deep understanding of what it takes to succeed in alternatives, we believe in being different. Invest yourself in the alternative, and...

  • Client Compliance Officer

    4 weeks ago

    Saint-Helier, United Kingdom Apex Group Full time

    Residency5 years residency NOT requiredEmployerApex GroupClosing date01 April 2024Reference55720ContractPermanentHoursFull TimeSalaryNegotiableIf you were already in this Client Compliance Officer role, here are some of the areas you would have been working in this week: Monitoring compliance of the relevant registered person’s compliance with legislation...

  • Corporate Officer

    3 weeks ago

    Saint Peter Port, United Kingdom IQ-EQ Full time

    Company Description IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide. **Job Description**: You will need to be switched-on and have a can do attitude to carry out a variety of...

  • Compliance Lead Emea

    7 days ago

    Chalfont Saint Giles, United Kingdom GE HEALTHCARE Full time

    **Job Description Summary**: GE Healthcare Pharmaceutical diagnostics (“PDx”) is currently recruiting a team-oriented, self-motivated, and enthusiastic Compliance professional with relevant pharma industry experience to manage and support multiple aspects of GE Healthcare PDx EMEA& Intercontinental Compliance Program. This position is preferably based...

  • Safeguarding Officer

    1 week ago

    St Peter, United Kingdom HSBC Full time

    Some careers shine brighter than others. If you’re looking for a career that will help you stand out, join HSBC and fulfil your potential. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. As an HSBC employee Channel...

  • Senior Associate, Client Services Support

    4 weeks ago

    Saint Helier, United Kingdom Royal Bank of Canada Full time

    **Come Work with Us!** At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose. Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work...

  • Client Compliance Manager

    3 weeks ago

    St Peter, United Kingdom Aztec Group Full time

    Reports to Senior Compliance Manager The purpose of this position is to act as a client focussed Compliance representative within the Aztec Group’s Jersey office, taking responsibility for the day to day Client Compliance activities and forming part of the group-wide Risk and Compliance team, assisting with its on-going development and implementation...

  • Client Services Support Administrator

    4 weeks ago

    Saint Helier, United Kingdom Royal Bank of Canada Full time

    **Come Work with Us!** At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose. Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work...

  • Programme Lead, Horizon Guernsey

    1 week ago

    Saint Peter Port, United Kingdom IQ-EQ Full time

    Company Description IQ EQ is part of a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide. Additional Information At IQ EQ Group we want you to reach your full potential. We offer an inclusive...

  • Senior Associate, Client Services Support

    1 week ago

    Saint Helier, United Kingdom Royal Bank of Canada Full time

    Come Work with UsAt RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.Whether you're helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that...