Job Openings Compliance - Deputy Head

About the job Compliance - Deputy Head

Our client is a leading service provider in the alternative asset manager, financial institutions, family offices and corporates space. They have a substantial presence in the Americas, EMEA and Asia–Pac and quoted on the London Stock Exchange.

A vacancy as deputy Head of Compliance has arisen and reports direct to the Head of Compliance, Jersey.  The Head of Compliance is the CO, MLCO and your duties will include assisting with the management of the Compliance Function as well as deputising in their absence with access to all business functions.

You will already be familiar with the Compliance environment and a comprehensive JD is available and includes:-

  • Ensuring appropriate monitoring of operational performance and managing regulatory and compliance issues;
  • Ensuring that monitoring of internal policies and procedures are being consistently and effectively adhered to;
  • Assessing, and recommending amendments to, internal systems and controls as well as policies and procedures to facilitate compliance with the regulatory framework;
  • Where appropriate, promptly instigating action to remedy any deficiencies in the compliance arrangements;
  • Act as senior point of contact for employees on day to day regulatory matters where applicable;
  • In the absence of the Head of Compliance act as the a point of contact with the Commission on day-to-day regulatory matters;
  • Providing senior management and the board of directors of the relevant registered persons with regular written reports in respect of the registered person’s compliance with the requirements of the relevant laws, orders and codes of practice.
  • 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 Handbook and Codes of Practice issued under the Supervisory Bodies Law.