Compliance Monitoring

1 day ago

Guernsey, United Kingdom Sanne Full time

**Role summary**:
Sanne operates the Three Lines of Defence model with Compliance being the Second Line of Defence. This important role is to assist the Compliance Officer/Money Laundering Compliance Officer to ensure that the activities of the SANNE businesses in Guernsey operate in accordance with regulatory requirements, as well as being in line with SANNE’s policies and procedures. The role holder also assists with compliance monitoring on behalf of the POI licence holders administered by the SANNE Guernsey.

**Key responsibilities**:
The Compliance Monitoring and Testing function is responsible for the timely and effective execution of the Compliance Monitoring Plan for each of the Guernsey businesses, as well as several POI licence holders administered by SANNE Guernsey.

The primary function of the role is to assist in the timely delivery and execution of the Compliance Monitoring and Testing Plan (‘CMP’) for each of the Guernsey businesses, as well as several POI licence holders administered by SANNE Guernsey.

The main responsibilities of the role include:

- Organise own workload to ensure that compliance monitoring reviews are undertaken in accordance with the required timeframes, as set out in the SANNE CMP;
- Take ownership of allocated tests within the CMP;
- Liaise with the business where required following the results of the CMP test and document any queries raised and ensuring that SANNE employees are requested to respond to the monitoring queries in time to allow the Compliance Officer/Money Laundering Compliance Officer to review;
- Be able to identify any perceived risks to the business highlighted by the CMP, and communicate these to the Compliance Officer/Money Laundering Compliance Officer;
- Undertake ad-hoc/themed Compliance Reviews, as/when required;
- Assist with ad-hoc compliance matters including but not limited to regulatory matters as they arise;
- Assist with the monitoring of internal policies and procedures to identify whether they are being consistently and effectively adhered to;
- Assess and recommend amendments to internal systems and controls as well as policies and procedures to facilitate compliance with the regulatory framework, if/when identified; and
- Where appropriate, assist with instigating action to remedy any deficiencies in the compliance arrangements.

**Skills / experience**:

- You will be flexible, self-motivated, and ideally have experience in scheduling and executing compliance reviews.
- You will be able to work with stakeholders at all levels to ensure appropriate actions are taken in respect of the testing being performed, therefore good communication skill are essential;
- You will have good report writing skills, with the ability to communicate results in a clear and succinct manner that successfully draws out relevant issues;
- You will ideally have experience in implementing Second Line of Defence testing programmes and working to and meeting deadlines.

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