Client Compliance Officer

2 months ago

St Helier, United Kingdom Apex Group Full time

Client Compliance Officer

Location: St. Helier, Jersey
Date Posted: May 15, 2023

**Description**

**Client Compliance Officer**

**Role Location**:Jersey**Employment Type**: Full time, PermanentThe Client Compliance Officer role is to act as a nominated CO/MLCO/MLRO for a number of the Jersey Regulated/ Collective Investment Funds/Non Collective Investment funds/Jersey Private Funds to which Apex provides services.The Client Compliance Officer will have direct access to the boards of the relevant registered persons and unfettered access to all business lines, support departments and necessary information.The Client Compliance Officer will report to the Head of Client Compliance in Jersey.**The role &**
**Key Responsibilities***:

- The Compliance Manager will fulfil the role of CO/MLCO/MLRO for a number of Jersey Collective Investment Funds/Non Regulated Funds/Non Collective Investment Funds. Where the role is supported by resources, this role may include line management responsibility.- Key responsibilities can be summarised as follows:
- Monitoring compliance of the relevant registered person’s compliance with legislation in Jersey relating to money laundering and financing of terrorism and the AML/CFT/CPT Codes of Practice issued under the Supervisory Bodies Law by undertaking a Compliance Monitoring Program ensuring that findings are escalated and remediated to conclusion;
- Ensuring that there are adequate procedures for monitoring compliance with, and testing the effectiveness of policies and procedures;
- Ensuring that there are adequate procedures for monitoring and testing the effectiveness of measures to raise awareness and training that are commensurate with the AML/CFT/CPT risks faced by the Jersey Non Regulated/Non Collective Investment Fund entities;
- Monitoring whether the enactments in Jersey relating to Money Laundering and the Financing of Terrorism and AML/CFT/ PT Codes of Practice are being complied with;
- Monitoring and testing compliance with systems and controls (including policies and procedures) in place to prevent and detect money laundering and financing of terrorism;
- Reporting periodically as appropriate to the boards on compliance with the relevant persons, systems and controls (including policies and procedures) and issues that need to be brought to its attention;
- Receive and consider internal SARs in accordance with internal reporting procedures;
- Make timely disclosures to the Joint Financial Crimes Unit where necessary;
- Maintain a record of all requests for information from law enforcement authorities and records relating to all internal and external SARS;
- Manage relationships effectively post any disclosure to avoid tipping off;
- Acts as the liaison point with the Commission and the JFCU and in any other external enquiries in relation to money laundering or financing of terrorism;
- Maintain a Register of Suspicious Activity Reports;
- Where a deputy MLRO is appointed, keep a record of all deputy MLRO’s; and
- Provide support to, and routinely monitor the performance of each deputy MLRO and consider and determine that any SARS are being handled in an appropriate and consistent manner by reviewing samples of records containing SARS and supporting documentation and reviewing the decisions and basis for decisions taken in deciding whether to make an external SAR.

**Other Responsibilities**:

- Maintain appropriate independence, in particular from customer-facing, business development and system and control development roles;
- Themed Compliance Reviews as/when required;
- Keep abreast of changing regulatory environment, assess, and recommend amendments to, internal systems and controls as well as policies and procedures to facilitate compliance with the regulatory framework;
- Respond to enquiries from auditors or other service providers as/when required;
- Ensure that your required level of CPD is undertaken each year; and
- Assist with other duties to support Jersey’s Head of Compliance as may be necessary from time to time.**Skills Required**:

- You will have substantial finance sector experience and excellent understanding of and experience with performing Compliance/ AML/CFT/CPT roles within a regulated financial services business and will have:

- sufficient experience and skills which include, holding an appropriate (as determined by the registered person) AML or other professional qualification or be studying towards such a qualification;
- a sound knowledge of the Jersey Anti-Money Laundering legislation and any orders issued under those laws;
- a sound knowledge of The Handbook for the Prevention and Detection of Money Laundering and the Financing of Terrorism;
- a sound knowledge of the Financial Services (Jersey) Law 1998, any orders issued under the Law;
- a sound knowledge of other regulatory and legislative requirements applicable to the business undertaken by the relevant persons;
- full awareness of their own obligations and those of the

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