Compliance Officer

3 months ago

Guernsey, United Kingdom Investec Full time

Investec is a distinctive Specialist Bank serving clients principally in the UK and South Africa. Our culture gives us our edge: we work hard to find colleagues who'll think out of the ordinary and we put them in environments where they'll flourish. We combine a flat structure with a focus on internal mobility. If you can bring an entrepreneurial spirit and a desire to learn and collaborate to your work, this could be the boost your career deserves.

Role Title

Compliance Officer

Reporting to

Head of Risk and Compliance

Team

Compliance

Division

Investec Bank (Channel Islands) Limited (“IBCI”)

Key relationships

Within organisation
- All Investec Guernsey, Jersey and Isle of Man staff
- Senior Management of Investec Bank (Channel Islands) Limited
- Investec Group Compliance
- Investec Group MLROs
- Internal Auditors
- Group Standards Compliance Monitoring Team

Outside organisation
- Guernsey Financial Services Commission
- Jersey Financial Services Commission
- External Auditors
- Other professional associations and third parties such as Private Investigators and GACO

Have unfettered access to all business lines and support departments.

Regulated Position
- Yes No

**Qualifications**

(ii) Mandatory professional qualifications and exams (required for the role)
- Preference given to a graduate or equivalent education level and/or International Compliance Association qualification to help demonstrate a working knowledge of compliance related issues in connection with the banking and investment sectors.

Team Description

Description of role and key responsibilities
- Initially focus on the Compliance Monitoring Programme and providing general assistance to the wider compliance team.
- To provide support and assistance to the IBCI Head of Risk and Compliance and the Compliance Team in order to ensure compliance in accordance with the appropriate legal/regulatory requirements and internal Policies and Procedures, taking account of the various requirements and obligations of each business unit.
- **Develop skills and experience to**:

- Assist in ensuring that the Bank's regulatory risk is managed in accordance with the Bank's (and the Investec Group's) regulatory risk framework and financial crime risk appetite.
- Provide support to maintain a comprehensive Board approved Compliance Monitoring plan.
- Execution of core compliance and monitoring systems and maintenance of registers within IBCI under appropriate guidance and supervision as required, including appropriate filing of documentation.
- Support the MLRO and Compliance Team in the implementation and maintenance of an effective compliance and anti-money laundering culture within IBCI.
- To field queries from the business and build on staff knowledge over time.
- To support anti-money laundering, anti-terrorist financing, sanctions and other relevant compliance training and awareness.
- Provide compliance and financial crime support, advice and guidance to the business in order that all staff are able to comply with their regulatory responsibilities and adhere to internal policies and procedures.
- Assist in ensuring that all regulatory notices are analysed and distributed as appropriate.
- Help and provide guidance to the On-boarding Team and undertake final sign-off of the regular sample Approved Introducer / Intermediary checks on demand to review / check for reasonableness and accuracy.
- Carry out regular On-Site Approved Intermediary / Introducer update visits with recommendation to the Business Acceptance Forum.
- Carry out new take-on On-Site Approved Intermediary / Introducer and recommendations to the Business Acceptance Forum.
- Represent Compliance at internal meetings such as the Business Acceptance Forum, Compliance and Operations Forum, Approved Introducers and Obliged Persons Review Forum and Compliance and Financial Crime Committee.
- Manage compliance projects that arise from time to time.
- To work as an integral part of the Compliance Team with a good understanding of both the Jersey Branch and Guernsey regulatory environment and provide support thereto as necessary.
- Carry out ad-hoc tasks as required from time to time.

Core skills and knowledge
- Ideally at least 4 years' experience in Banking, Fund industry or Trust, of which at least 3 years with Compliance and Financial Crime related experience - although not essential. Consideration will be given to other experience and skills.
- Preference given to a graduate or equivalent education level and/or International Compliance Association qualification to help demonstrate a working knowledge of compliance related issues in connection with the banking and investment sectors.
- A strong awareness of the regulatory environment and guidelines as issued by the Guernsey Financial Services Commission.
- Computer literate including Outlook, spreadsheets, word processing and databases.
- Methodical, thorough attention to detail and an enquiring mind.
- Good understanding of the

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