Compliance Officer

Key Responsibilities

• Serve as the appointed Compliance Officer for licensed client entities under GFSC laws and applicable sector-specific rules.
• Design, implement, and maintain the compliance monitoring programme for each client entity.
• Provide proportional, accurate, and timely compliance advice and guidance to the business, management, and Boards of client entities.
• Compile and present Management Information on compliance matters to Boards of client entities and for internal group reporting purposes.
• Draft, maintain, and periodically review compliance policies and procedures for client entities.
• Prepare and submit an Annual Compliance Report to the Board of each client entity.
• Act as the primary point of contact with the GFSC on all compliance matters.
• Maintain oversight of Business Risk Assessments (BRAs) for client entities.
• Oversee sanctions compliance obligations for client entities.
• Maintain oversight of staff fitness and propriety assessments.
• Support the operation of effective whistleblowing arrangements.
• Attend relevant internal committee meetings.

Qualifications & Experience

• A relevant compliance qualification recognised by the GFSC.
• At least 5 years’ relevant finance industry experience.
• At least 5 years’ experience within the compliance environment.

Knowledge

• A detailed knowledge and understanding of the Guernsey finance industry and GFSC regulatory requirements.
• Comprehensive knowledge of Guernsey AML/CFT/CPF legislation and the GFSC Handbook for Financial Services Businesses on Countering Financial Crime and Terrorist Financing (AML/CFT/CPF Handbook).
• Knowledge of Guernsey sanctions legislation, including the Sanctions (Bailiwick of Guernsey) Law, 2018 (as amended) and related sanctions orders.
• Understanding of the GFSC fitness and propriety requirements for prescribed role holders.
• Familiarity with the GFSC Codes of Practice applicable to fiduciaries and/or investment businesses.

Skills & Abilities

• Persuading and influencing.
• Leadership skills.
• Strong communication skills.
• Attention to detail.
• Ability to train and educate all levels of staff.
• Ability to build and create a sense of team spirit and loyalty.
• Ability to develop policy, procedures, and processes.