Our client is seeking a Compliance Analyst to join their Compliance department based in Guernsey. Reporting to the Head of Risk & Compliance, the role focuses on performing KYC/AML due diligence for their Private Markets segment while actively contributing to the Compliance Monitoring Programme (CMP). This position provides a unique opportunity to engage with innovative financial market solutions while supporting the organisation’s compliance framework and ensuring adherence to regulations. Click here to read more
Job Duties:
- Conduct Customer Due Diligence (CDD) for new and existing customers in line with policies, procedures, and the compliance framework.
- Perform periodic risk reviews, using internal systems, screening tools, and public sources to evaluate customer risk profiles.
- Screen issuers, corporate entities, and individuals for PEPs, sanctions, adverse media, and financial crime risks.
- Provide training and guidance to teams, particularly in Listings and Market Regulation, on CDD practices.
- Monitor transactions for Private Markets customers, ensuring alignment with company policies.
- Maintain and update KYC/AML policies, procedures, and documentation.
- Conduct CMP testing, record findings accurately, and escalate issues promptly for resolution.
- Improve the effectiveness of CMP tests through proactive input and enhancements.
- Investigate irregularities and non-compliance issues, preparing Enhanced Due Diligence reports as necessary.
- Stay updated on regulatory developments and apply best practices to compliance controls.
- Educate staff on compliance responsibilities and potential impacts through training and advice.
- Support the Data Protection Officer in ensuring compliance with external requirements and internal policies.
- Assist with regulatory submissions and maintain relevant registers such as complaints and conflicts of interest.
- Participate in ad-hoc projects and contribute to organisational initiatives as required.
Job Requirements:
- Proven experience in a CDD/AML role with practical knowledge of compliance requirements.
- Familiarity with relevant financial regulations and industry standards.
- Experience with different corporate structures across various jurisdictions.
- Excellent organisational skills and a methodical, detail-oriented approach.
- Strong problem-solving abilities and the capacity to analyse and interpret complex information.
- Effective communication skills, both verbal and written.
- Ability to work independently, meet deadlines, and balance regulatory and commercial priorities.
- Self-motivation, curiosity, and a proactive mindset.
- Alignment with company values and a collaborative work ethic.
What You’ll Love:
Our client offers a dynamic and innovative working environment, fostering a culture of responsiveness and continuous improvement. The role provides the opportunity to gain exposure to cutting-edge financial market solutions and contribute to a fast-growing segment of the business. With a strong commitment to professional development, you’ll have access to relevant training and the chance to collaborate with expert teams across various jurisdictions.
Interested? Register today, confidentially, with one of our friendly and dedicated recruitment specialists by clicking here
