The Position
The purpose of this position is to act as a compliance representative within the Aztec Group’s Guernsey office, taking responsibility for the day-to-day compliance activities and forming part of the Group-wide Risk and Compliance team.
Responsibilities
Provide thought leadership and assist with the development of leading practices in relation to managing compliance within our Funds Services and Corporate Services products
Promote a good compliance culture within the team and with the Aztec Group organisation
Promote awareness of, and compliance with, the Aztec Group’s policies
Take responsibility for the effective management of day-to-day compliance activities, monitoring and reporting, ensuring that the Aztec Guernsey and client Compliance Monitoring Programmes (“CMP”) are performed to the required level and completed within the relevant time frame (including carrying out testing where appropriate)
Prepare compliance reports for client boards, and oversight of compliance reports by other members of the Compliance team
Represent Aztec Compliance across several regulated client entities, attending client board meetings as required
Assist the Senior Compliance Manager with testing of Aztec Guernsey’s own CMP, as requested, and provide compliance cover in the absence of the Senior Compliance Manager
Provide regulatory support and oversight to the business
Identify potential regulatory issues and work with the business to develop solutions to prevent poor regulatory outcomes, under the guidance of the Senior Compliance Manager
Cognisant of regulatory changes and where necessary present accurate, concise advice on regulatory developments to the Aztec Group’s Clients, the Risk and Compliance team and the wider Group
Regularly review and assess the adequacy of the CMP ensuring that it captures newly emerging regulatory changes
Liaise internally with client teams and managers as and when required, in a professional manner in order to maintain the good reputation of the Compliance team
Provide support and guidance to management with regards to the application of the relevant laws and regulations in Guernsey
Assist management with maintaining an effective relationship with the GFSC
Coordination of Regulatory Returns, for ultimate review and submission by the Senior Compliance Manager
Build relationships with the wider Risk and Compliance team across all jurisdictions and maintain those relationships through effective written and verbal communication
Build and maintain strong on-going relationships with the Aztec Group’s legal team
Monitor any breaches and complaints
Experience
Skills & Qualifications
Proven stakeholder management skills and service delivery skills
Energy and a desire to grow in your career
Phenomenal communication skills (both written and verbal)
Ability to take ownership and demonstrate initiative, to negotiate, influence, build consensus and successfully navigate within a demanding environment
Self-motivated and capable of prioritising and organising workloads as required
A detailed understanding of, and experience with, performing compliance activities within a financial services company
Good knowledge of the Guernsey regulatory environment
A university degree or equivalent in Business, Economics, Commerce or other relevant subjects or equivalent professional qualification
Experience within a compliance role within the financial services sector would be advantageous
Private Equity, Real Estate Funds and/or a Corporate Services background would be an advantage
Good working knowledge of SharePoint and Microsoft products, in particular Outlook, Word and Excel