Senior Associate Compliance, Independence & Ethics

Our client is seeking a Senior Associate to join their Compliance, Independence, and Ethics team based in Jersey or Guernsey. This full-time role involves working closely with the leadership team to support various compliance and ethics activities aimed at maintaining the highest standards of professional integrity. The successful candidate will engage in critical projects, reviewing policies and procedures to uphold compliance across the organisation. The position entails performing crucial processes with an emphasis on collaborative teamwork and continuous professional development. With a strong commitment to ethical practices, our client is dedicated to fostering a culture that values trust and accountability, essential in their dealings with clients and stakeholders. Additionally, this role will provide insights into how the firm manages risks amidst evolving regulatory requirements. The chosen candidate will also participate in training and communication initiatives to enhance the remarkable compliance standards within the firm.

Job Duties:

• Perform and operate various processes and controls as needed.
• Support annual reviews and updates to policies and procedures.
• Review internal applications such as requests for firm sponsorship and speaking events.
• Conduct investigations into breaches and facilitate root cause analysis.
• Review and assess pre-joining independence forms and disclosures for new entrants.
• Conduct compliance monitoring tests and prepare comprehensive reports.
• Maintain and update compliance registers and manage assigned compliance tasks.
• Assist in quarterly reporting to leadership and mandatory reporting to regulators.
• Maintain process notes and communications logs related to compliance.
• Support the delivery of training to new joiners and prepare various training materials.
• Organise team meetings and contribute to process enhancements for operational efficiency.

Job Requirements:

• Relevant professional qualification (e.g. ACCA, ICAEW) is beneficial.
• Strong organisational skills with an ability to meet deadlines.
• Tech-savvy mindset with a willingness to master internal systems.
• Excellent communication skills for effective collaboration with cross-functional teams.
• Proactive and self-motivated approach, demonstrating a high level of responsibility.
• Attention to detail and a strong sense of teamwork.
• Experience in audit, compliance, or risk management is essential.
• Understanding of auditor independence rules and financial crime compliance is desirable.
• Familiarity with AI tools, such as Co-Pilot or Chat GPT, in operational efficiencies would be advantageous.

What You’ll Love:

This role offers an exceptional opportunity to develop your career within a prominent Compliance, Independence, and Ethics framework. You will be part of a supportive team culture, enhancing your professional skills while making a meaningful impact across the organisation. The client values diversity, aiming to reflect society’s broad spectrum, ensuring that all employees can thrive in their unique strengths. A commitment to continuous professional development and collaborative work further enhances the appeal of this role, making it an excellent place for career advancement.

Interested? Register today, confidentially, with one of our friendly and dedicated recruitment specialists by clicking here