Compliance Monitoring Senior Analyst

Key Responsibilities

• Develop and coordinate the annual compliance plan (including matters relating to suitability)
• Engage with the business to discuss findings and to ensure that views are balanced and accurate
• Write timely and accurate reports that present testing results, articulate the rationale for findings, the risks posed, and the actions required to address those risks
• Build a rapport with the business to include educating staff on regulatory changes and best practice
• Provide verbal and written updates to the monthly compliance committee and written updates quarterly to the board meetings.

Skills, Knowledge and Expertise

• At least 5 years' experience in Compliance
• Knowledge of the wealth management industry
• Good working knowledge of investment business rules
• Ability to navigate and interpret regulatory rule books.

• Good understanding of relevant financial regulations in Guernsey, Jersey and the Isle of Man. 

• An analytical and enquiring mind  
• Self- starter with positive attitude with the ability to use initiative
• Strong rapport building with ability to communicate difficult messages 
• Flexible and hard working
• Ability to quickly learn new processes
• Excellent communication skills, both verbal and written