Compliance Monitoring & Oversight Officer

You will work within the compliance team supporting both the trust and funds businesses to ensure compliance with all local and international rules and requirements. As well as, supporting the Compliance Team with managing and overseeing the compliance registers and logs for both ZTCGL and ZEDRA Fund Managers (Guernsey) Limited, including reporting of management information periodically.

You will also assist with the review of customer files to ensure that risks are appropriately identified and mitigated.

Key Accountabilities

• Ensure Regulatory compliance – to ensure compliance with relevant local laws, Regulations, rules and adherence to the firms’ policies, procedures, manuals and ZEDRA Group Compliance and Business Principles.
• Safeguard – safeguard the reputation of ZEDRA.
• Provide Assurance – to provide assurances to the Compliance Officer, Money Laundering Compliance Officer and Money Laundering Reporting Officer, and ultimately the Board, that the firm is adhering with local Laws, Regulations, policies etc. and effective controls are in place to mitigate risks.
• Assess – to assess, report, escalate and track corrective action in respect of regulatory / legal / risk controls through to resolution.
• Inform – to interpret regulatory rules, guidance and practice and to ensure that the operating business and its staff are aware of what they need to do to comply with them.
• Support – to monitor Compliance departmental tasks which are time critical / deadlines are met.

Knowledge & Experience

• Must have the appropriate knowledge, skill and experience to fulfil the role including at least 5 years experience in undertaking CMP testing within the Funds industry or similar environment.
• Detailed knowledge of relevant laws, Regulations, Rules, Codes etc;
• Good technical knowledge of the Fund and Fiduciary Sector;
• Strong report writing skills; and
• Computer literate to able to find and handle data in business systems.
• Excellent organisational skills;
• Great inter-personal skills to communicate CMP Findings with the 1LOD and on how issues can be resolved;
• Ability to build and develop strong working relationships at all levels;
• High level of self-motivation and discipline.
• An appropriate professional compliance qualifications
• Have at least six years of experience in a compliance related role.

For more information or to request a copy of the full job description including key responsibilities, please email [email protected]

All agency emails and queries should be sent to [email protected]

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