Assistant Risk & Compliance Officer

Role Summary

  • 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.