Client Compliance Manager

2 weeks ago

St Peter, United Kingdom Aztec Group Full time

Reports to Senior Compliance Manager

The purpose of this position is to act as a client focussed Compliance representative within the Aztec Group’s Jersey office, taking responsibility for the day to day Client Compliance activities and forming part of the group-wide Risk and Compliance team, assisting with its on-going development and implementation of the Aztec Group’s Compliance strategy.

Key responsibilities:

Perform the role of nominated Compliance Officer and Money Laundering Compliance Officer for Aztec Jersey regulated and supervised entities Provide thought leadership and assist with developing leading practices in relation to managing Compliance Promote awareness of, and compliance with, the Aztec Groups policies Take responsibility for the effective management of day-to-day client focussed compliance activities, monitoring and reporting, ensuring that the Aztec Group and Client Compliance Monitoring Programme’s (“CMP”) are performed to the required level and completed within the relevant time frame (including carrying out testing where appropriate) Prepare regular Compliance reports and present to client boards Provide regulatory support and oversight to clients and employees Identify potential regulatory issues and work with the business to develop solutions to prevent poor regulatory outcomes Cognative of regulatory changes and where neccesaary present accurate, concise advice on regulatory developments to Clients, the Risk and Compliance team and the wider Aztec Group Liaise internally with client facing teams and managers as and when required Provide support and guidance to Management with regards to the application of the relevant laws and regulations in Jersey Assist Management with maintaining an effective relationship with the JFSC Build relationships with the wider risk and compliance team across all jurisdictions and maintain those relationships through effective written and verbal communication Build and maintain strong on-going relationships with Aztec’s legal team Monitor any breaches and complaints

Skills, knowledge, expertise:

Minimum 5 years experience working in a compliance role within the Funds financial services sector, preferably having held a key person role previously. Proven stakeholder management skills Proven service delivery skills Energy and a desire to grow in your career Strong communication skills (both written and verbal) Ability to take ownership and demonstrate initiative, to negotiate, influence, build consensus and successfully navigate within a demanding environment Self-motivated and capable of prioritising and organising workloads as required A detailed understanding of, and experience with, performing compliance activities within a financial services company Good knowledge of the Jersey regulatory environment International Compliance Association Diploma in a subject relevant to regulatory compliance. Private Equity Real Estate Funds and or a Corporate Services background would bean advantage Good working knowledge of SharePoint and Microsoft products, in particular Outlook, Word and Excel, Office 365

We will provide the training, both in house for relevant technical knowledge and also for professional qualifications to enhance your ability to provide sound compliance services. You will need to be quick to learn new systems and great with people, as close working relationships between our colleagues and clients is at the heart of what we do.

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