Compliance Assistant Manager



Overview of role:     

The Assistant Manager Compliance, Support Services will assist the Compliance Team in ensuring that the business of Intertrust Services Limited complies with applicable laws, regulations, supervisory requirements, internal policies and procedures through internal controls and actions; with the ultimate objective being to provide assurance to management and protect the Group’s good name and reputation.  To ensure that all activities undertaken are in accordance with the various laws and regulations pertaining to the Group’s Guernsey regulatory licences.

The Key Responsibilities for the role are noted below and as an Assistant Manager you will also be expected to undertake any such duties that are deemed a reasonable requirement, for example, participating in any relevant projects that are related to the role.  In addition, you will be required to participate in business and social events organised for staff. 

Key Responsibilities:                

  • Provide assistance with the annual Compliance Monitoring Program, under direction from the Associate Director;

  • Conduct sample testing of the periodic AML/CFT file reviews;

  • Liaise with directors, managers and staff on file review matters;

  • Maintain a good working relationship with business colleagues, providing advice and guidance on internal procedural and external regulatory matters as appropriate;

  • Collaborate with Compliance & Risk colleagues in other Intertrust offices

  • Take action on Breaches, Errors, Omissions and Complaints, managing the risk as appropriate;

  • Provide assistance with the maintenance of the various registers used by the Compliance and Risk team to ensure they are reviewed and updated accurately and in a timely manner;

  • Liaising with compliance team to ensure that record keeping is conducted accurately and in a timely manner;

  • Provide assistance to the team with regulatory reporting, as directed;

  • Assist with the reviewing and updating Intertrust Guernsey Compliance & Risk related policies and procedures;

  • Assist with the maintenance of the Compliance and risk area on Bridge;

  • Monitor the Guernsey Financial Services Commission submission portal for Intertrust Guernsey;

  • Assist with the preparation of Business Risk Assessments, accurately and in a timely manner;

  • Assist with Management Information reporting, both locally and to group;

  • As part of the compliance team, undertake intermediary/introducer assessments;

  • Contribute on behalf of Guernsey Compliance to Group Compliance and Risk projects as requested;

  • Proactively keep an up-to-date awareness of Guernsey Regulatory developments and have an awareness of how these might impact the business;

  • Maintain a good working knowledge of the GFSC Handbook on Countering Financial Crime and Terrorist Financing.

  • Encourage the team to develop themselves by setting a good example and using all learning and development resources available (ELLA) as well as mentoring less experienced team members;

  • Review Team procedures/processes and escalate any concerns or improvements as appropriate;

  • Ensure Compliance procedures are followed/implemented in accordance with the TCS Procedures Manual and provide guidance to less experienced team members in this regard;

  • Adhere with all relevant regulatory requirements as noted in the Intertrust Guernsey Corporate Governance Charter, as amended from time to time;

  • Ensure that both the Intertrust internal procedures as well as the Guernsey anti-money laundering and terrorist financing regulations are complied with to the extent required by your role, especially in respect of the reporting of suspicious activity or transactions, client due diligence and record keeping;

Experience, Skills and Qualifications required:           

  • Prior relevant experience in regulated finance or professional services;

  • Must be able to demonstrate sound organisation skills and supervisory experience;

  • Possess a solid understanding of the business and regulations applicable;

  • Qualified by experience or hold a professional qualification such as ICA Diploma, STEP, ICSA or similar;

  • Strong technical IT skills.

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