Senior Officer, Monitoring

4 weeks ago

SaintHelier, United Kingdom IQ-EQ Full time
Job Description

Responsibilities:

You’ll be working with the Head of Monitoring & Reporting and the team in the development of the annual Compliance Monitoring Programme for the regulated businesses in Jersey, and assisting in the delivery of the Compliance Monitoring Programme by completing tests to ensure that the businesses are compliant with relevant legal & regulatory requirements and internal policies, procedures and processes.

Tasks:

  • Assist with the development and deliver the annual Compliance Monitoring Programme
  • Conduct Compliance Monitoring reviews of the Trust Company and Funds businesses in accordance with the Compliance Monitoring Programme in a timely manner
  • Undertake thematic reviews where required by the Head of Monitoring & Reporting (e.g. in line with the JFSC examination programme)
  • Ensure each test is properly documented to include accurate storage of evidence/supporting documentation
  • Agree any action points (timeline, risk rating) with the Head of Monitoring & Reporting and the business and ensure accurate and concise Compliance Monitoring reports for each test conducted
  • Track and oversee all open and overdue action points and provide regular reporting to the action owners and the Head of Monitoring & Reporting for reporting to the Boards.
  • Provide regular updates to the Head of Monitoring & Reporting in relation to the progress of the tests undertaken as part of the Compliance Monitoring Programme

Qualifications

  • Strong academic background and/or recognized compliance qualification
  • Experience in Compliance/Compliance Monitoring and/or Internal Audit
  • Sound knowledge of the local legal & regulatory requirements
  • Comprehensive knowledge of funds and trust company business
  • Ability to communicate at all levels of the business
  • Excellent organisational skills and attention to detail
  • Excellent communication skills and IT skills


Additional Information

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

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