Job Reference: 34928
Job Type: Permanent Vacancy
Job Location: Guernsey

Our client is seeking a Compliance Monitoring Senior Analyst to join their Compliance department. This position reports to the Head of Compliance and MLRO and has no direct reports. The role operates across various jurisdictions, including Guernsey, Jersey, and the Isle of Man. The primary objective of the team is to provide effective second-line monitoring via the execution of the Compliance Monitoring Programme, with the aim of enhancing the control framework of the business. As part of this role, you will undertake compliance monitoring reviews, report findings, and collaborate with the business to agree on recommendations for improvements. You will be responsible for developing and coordinating the annual compliance plan while ensuring that your reports present accurate and comprehensive testing results. This is a full-time position. Job Duties: Develop and coordinate the annual compliance plan, including matters related to suitability. Undertake compliance monitoring reviews as per the compliance monitoring programme and methodology. Engage with the business to discuss findings, ensuring balanced and accurate perspectives. Write timely and accurate reports detailing testing results, risks identified, and necessary actions to mitigate those risks. Collaborate with management to agree on appropriate action plans for identified risks. Liaise with management to ensure the timely resolution of action points. Make recommendations to the Heads of Compliance for enhancements to the programme. Build rapport with the business and educate staff on regulatory changes and best practices. Apply relevant legislation and regulations to the compliance monitoring programme. Work closely with Compliance Advisory and escalate relevant issues accordingly. Develop and maintain a thorough understanding of the firm’s business and regulatory frameworks, including GFSC, JFSC, and IOMFSA regulations. Maintain awareness of regulatory developments and share knowledge with the wider team. Provide verbal and written updates to the monthly compliance committee and written updates for quarterly board meetings. Perform other relevant duties as required. Job Requirements: Over 5 years’ experience in Compliance. Strong knowledge of the wealth management and stockbroking industry. Good working knowledge of investment business rules. Proficient in navigating and interpreting regulatory rule books. Expertise in Word, Excel, and PowerPoint. Solid understanding of relevant financial regulations in Guernsey, Jersey, and the Isle of Man. An analytical and inquisitive mindset. Self-starter with a positive attitude and the ability to demonstrate initiative. Ability to build strong rapport while communicating complex messages. Flexible, hardworking, and adaptable. Excellent written and verbal communication skills. High ethical standards, demonstrating honesty and integrity at all times. What You’ll Love: In this role, you will be part of a dedicated team focused on enhancing the compliance framework and promoting best practices. Our client values accountability, alignment with their brand promise, and an ambitious approach to success, creating an environment that encourages professional growth and outstanding client service. You will have the opportunity to foster connections within the business and positively influence the compliance culture. This position not only challenges you to apply your expertise but also allows for personal development in a dynamic international environment. Interested? Register today, confidentially, with one of our friendly and dedicated recruitment specialists by clicking here 

View More Information