- To perform a full range of risk and compliance tasks including assistance with provision of a compliance frame work to all regulated entities, in order to support both the Head & Compliance and assist the business, operate in accordance with its legal and regulatory obligations, comply with the Codes of Practice; and meet industry best practice.
- To assist the Company Secretary Department in their day to day administration to ensure compliance with the requirements of the Jersey Company Law.
- A level qualified with a desire to progress a career in Risk & Compliance.
- Project Management skills desirable but not necessary.
Key Risk & Compliance Responsibilities
- Assist the members of the Risk & Compliance Team, as required
- Manage your workload efficiently to ensure that target / deadlines are achieved
- Maintain all registers managed by the Risk & Compliance team ensuring the Senior Compliance Office(SCO) is kept updated accordingly
- Assist with the Compliance Monitoring Programme and Compliance tasks and ad-hoc tasks/projectsas directed by the Compliance Manager or SCO
- Assist with the completion of Periodic Reviews
- Assist with daily Screening of all clients and scrutiny review of Politically Exposed Person
- Ensure relevant regulatory websites are reviewed weekly with updates captured for MI Reporting purposes
- Manage and complete compliance tasks for new business take on and closures in a timely manner.
- Ensure all original Client Due Diligence is scanned and filed accordingly
- Ensure timesheet is completed and submitted accordingly
- Build and maintain own technical knowledge and identify relevant CPD in order to keep up to date
- Work directly with colleagues in developing and maintaining a good compliance culture throughout the company
- Be proactive in recognising and pursuing opportunities for improving procedures and controls
Key Company Secretarial Responsibilities
- Assist the members of the Company Secretarial Team, as required
- Manage your work load efficiently to ensure that target/deadlines are achieved
- Prepare Agendas and collate papers for Board Meetings, Sub-Committees and Annual General Meetings and follow up on action points
- Assist in the maintenance of the register of shareholders and monitor changes in share ownership of DFSL and its affiliates
- Maintain structure charts of DFSL and its affiliates
- Manage the Safe Custody and the log
- Management of the company seals
- Maintain Navision updates for Registers
Key Competencies / Skills / Experience / Behaviours Required
- Excellent verbal and written communication skills and able to communicate effectively at all levels
- Efficient and well organised
- Capability of working on own initiative
- Commitment and motivation
- A team player
- Task orientated with strong analytical skills
- Accuracy, diligence and care in delivery of work assigned in a timely manner
- Flexibility in role and adaptability to change
- Proactive approach to learning and development, demonstrated by a record of continuing professional development
To apply for this role please follow this link.