17 Jan 2019

Junior Compliance Manager

Ref 32203

A fund administration company is looking to recruit a Junior Compliance Manager, to ensure the Company and its third-party Managed Fund entities has and maintains a comprehensive and effective system to monitor and report on matters relating to compliance, internal risk, regulation, legislation and control.

Principle Duties

  • To act as a senior member of the Compliance Team and in conjunction with the existing Junior Compliance Officer, act in the Compliance Officer’s absence
  • To act as the principal point of contact on fiduciary business matters for Guernsey and its joint Licensees and Director Services (Guernsey) Limited and to provide the business with guidance and training on matters of compliance with the fiduciary regulatory framework
  • To act as a Managed Licensee Compliance Officer
  • Attend Managed Licensees and Fund Entity Board meetings
  • Provide and present Compliance & MLRO reports as required
  • Monitor, review and report on regulatory/statutory breaches and complaints handling
  • Prepare the Annual Fiduciary Return and any other Fiduciary regulatory returns
  • Manage, train and mentor staff from within the team
  • Provide Compliance documentation to relevant third parties ie Auditors

The desirable candidate for this role will have the following skills and attributes:

  • Experienced in relevant regulatory laws, regulations and guidance (specifically the fiduciary business regulatory framework)
  • Attention to detail
  • Strong interpersonal skills and relationship management
  • Self-starting and capable of working with light supervision
  • Bachelor’s degree / Have or working towards Compliance qualifications for example the International Compliance Certificate or Diploma


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