Compliance Officer

7 months 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 of Apex businesses in Guernsey operate in accordance with regulatory requirements and well as ensuring that the business operates in line with policies and procedures.
The role is to act as a senior member of the Regulatory Compliance team working alongside the Compliance Team and other colleagues within the Compliance function to contribute towards the development and enhancement of the overall Compliance function. This will include providing support to client Boards, senior management and operational staff by providing compliance advice and guidance.

**Key Responsibilities***:

- _
- To act as a senior member within the Regulatory Compliance team.
- To act as named representative of administered licensed client entities.
- Preparing and presenting periodic Compliance reports for administered client entities and contributing to the preparation of Compliance reports for the primary licensees.
- To review group policies and changes to regulation and conduct impact assessments.
- To ensure the adoption of relevant compliance policies by the administered licensed client entities.
- Management of the compliance monitoring programme for administered licensed client entities to include completing testing, managing progress and reporting to the Compliance Officer and Guernsey Compliance Committees.
- Ensuring the progression of any compliance monitoring findings through to resolution by way of proactive coordination with the 1stline of defence teams.
- Reviewing all regulatory correspondence and acting as a principle point of contact for the regulator for administered licensees.
- Preparing and reviewing regulatory submissions.
- Promoting a positive compliance culture through engagement with staff.
- Assisting with the provision of training and / or advice to staff.
- Providing key management information when required, including but not limited to the Compliance Officer, the Country Head of Compliance Guernsey, and senior management.
- Attend and present to the Business Risk Committee on client compliance matters and deputise for the Compliance Officer on occasion by attending the Guernsey Compliance Committee.
- Ensuring the timely provision of information and documentation as required by the auditors of the administered licensed client entities.
- Assisting the Compliance Officer with the supervision of other members of the Regulatory Compliance team.
- Providing support and cover for the Compliance Officer as and when required.
- Keeping abreast of key regulatory developments and industry standards..

**Skills Required**:

- Relevant experience within a relevant compliance role (within a fiduciary or investment capacity).
- Ability to assess business requests accurately and promptly, delivering pragmatic and timely solutions to compliance related queries and / or identified risks.
- Keen attention to detail and good communication and presentation skills with stakeholders at all levels.
- Strong organisational skills.
- Competent analytical, research and investigative skills including report writing skills with the ability to communicate in a clear and succinct manner that successfully draws out relevant issues.
- Proficient in Microsoft software (including; Word, Excel and PowerPoint).
- Self-starting and capable of working both within the team and with light supervision.

**What you will get in return**:

- A high level of visibility within a large organisation on an upwards trajectory
- The ability to work in a growing business line in Guernsey.
- Be part of a dynamic and fast-paced team that makes a genuine impact on revenue and sales pipeline.
- The opportunity to innovate, improve process and really make a difference.
- Competitive salary & benefits package

**Additional information**:
We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

***

**LI-TM1**:
**LI-Hybrid**:

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