Senior Compliance Support Officer

2 weeks ago

St Helier, United Kingdom LRI Invest S.A. Full time

Location: St. Helier, Jersey
Date Posted: Feb 27, 2023

**Description**

**The Role & Key Responsibilities**:

- Assisting the HoC/MLCO with compliance policy and procedure (including departmental) reviews and updates.
- Accurate preparation of reporting and key risk indicator information within agreed timeframes.
- Supporting with AML related matters such as sanction screening process and reporting on matters arising or omissions and remediation as required.
- Day to day oversight of CDD outsource service provider.
- Responsibility for overseeing the CDD deficiencies monitoring /escalation process, including periodic CDD reviews and High-Risk reviews.
- Responsibility for overseeing the regulatory updates register and circulation of notifications /actions to key stakeholders in the business.
- Receipt and processing of Liaison Notices received from the Joint Financial Crimes Unit.
- Assisting the MLCO with compliance reviews of new business files/updating register.
- Where Apex is an approved intermediary, assisting the MLCO with obliged person questionnaires/on-site reviews.
- Undertaking the initial compliance review of PEP forms/reviews.
- Responsibility for the maintenance of certain registers.
- Responsibility for maintenance of the Compliance, Screening and Fund Solutions mailboxes.
- Assisting the Head of Compliance/MLCO with the JFSC’s risk-based supervision data collection and completion of periodic jurisdictional AML/CFT returns, as required.
- Assisting the compliance monitoring manager with monitoring reviews/tracking actions, as required.
- Assisting with ad-hoc tasks/projects, as required.
- Assisting other members of the team with shared workloads, as required.
- Assisting with the mentoring, development and coaching of team members, as required.
- Ensuring own knowledge of and compliance with relevant policies and procedures.
- Maintaining a clear understanding of the risks involved in all business activities carried out and escalating any identified concerns to relevant stakeholder.
- Maintaining an up-to-date awareness and understanding of the relevant, in particular AML/CFT, legal and regulatory requirements, commensurate with responsibilities.

**Skills Required**:

- Strong academic background and industry relevant experience and/or professional qualifications, preferably an ICA qualification.
- Sound working knowledge of statutory requirements and financial services (in particular funds) legislation, together with relevant guidance notes and Codes of Practice.
- Previous experience of working within in a similar role within a fiduciary setting.
- Confident in using all systems necessary for day-to-day tasks and ability to identify own training needs.
- Good interpersonal skills and excellent standard of oral and written communication, including ability to effectively communication with colleagues at all levels.
- Ability to present ideas in user-friendly, business-friendly and technical language.
- Good organisational and administrative skills, with the ability to identify and suggest procedural improvements.
- Ability to multi-task, prioritise workloads and manage timescales.
- Attention to detail and accuracy

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