Senior Officer - Compliance and Investor Due Diligence

The post holder will be focussed on compliance tasks related to anti money laundering (“AML”), countering the financing of terrorism (“CFT”) and countering proliferation financing (“CPF”), including monitoring of compliance with relevant investment industry regulations in respect of Alter Domus (Guernsey) Limited (“ADG”) and its clients in what is a rapidly developing business.  The post holder will report to the Client Compliance Manager in Guernsey.

JOB DESCRIPTION:

•    Ensuring that client and investor due diligence is collected to the appropriate standard in order to comply with the Guernsey Financial Services Commission’s (“GFSC’s”) Countering Financial Crime Handbook and ADG’s internal policies and procedures;
•    Identifying areas of risk and ensuring such risks are documented and mitigated where possible, and assessing overall levels of risk posed by clients and investors;
•    Where files are found to be deficient, liaising with key stakeholders across the business to ensure all necessary information and documentation is obtained in a timely manner;
•    Monitoring the remediation of deficient files and maintaining schedules recording any findings from reviews;
•    Assisting the Compliance team in maintaining internal policies and procedures to ensure ADG’s compliance with international standards and local regulatory obligations;
•    Assisting with the monitoring of the output of ADG’s screening system, and conducting research on relevant parties where potential adverse matches are identified;
•    Providing day to day support and (where appropriate) training to the staff of ADG as required in respect of compliance and AML/CFT/CPF matters;
•    Assisting with compliance monitoring in accordance with the compliance monitoring programme, to ensure that ADG and its clients remain compliant with all applicable regulatory and AML/CFT/CPF requirements; and
•    Assisting with internal and external examinations of ADG from key stakeholders such as clients, auditors and regulators.
•    Supporting the Compliance Manager with day to day management activities including the supervision and development of junior staff within the team 

YOUR PROFILE:

•    You are analytical and have an inquisitive and questioning mind;
•    You have experience of compliance and/or financial crime matters preferably in the investment sector or you have an interest in moving into an investment sector focussed compliance role;
•    You will have financial services industry experience, preferably in the investment sector, or transferable skills acquired in a related area  (although full training will be provided where required);
•    You are ambitious with a high level of energy and commitment and an ability to manage multiple tasks;
•    You possess team spirit, a capacity to build strong relationships and take initiative to act without waiting for direction when appropriate; and
•    You have a high level of IT literacy with good Excel and Word skills.

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