Compliance Executive

Our client is an investment manager and specialist lender located in Guernsey. This role supports the Risk and Compliance Manager in ensuring the business adheres to its regulatory and compliance obligations while fostering a robust culture of risk awareness and regulatory discipline. The Compliance Executive will sit within the second line of defence, gaining exposure to a wide array of compliance and risk activities throughout the business. Responsibilities will encompass compliance monitoring, regulatory oversight, and risk management initiatives. The successful candidate will collaborate closely with operational teams to ensure effective and proportionate controls are in place. The role provides an opportunity for professional growth in a supportive environment aimed at continual development. The ideal candidate will be engaged in various compliance-related tasks, contributing to the delivery of the firm’s compliance framework.

Job Duties:

• Support the delivery and ongoing development of the Compliance Monitoring Programme, including testing and reporting.
• Conduct periodic client file reviews and maintain client due diligence records in accordance with regulatory requirements.
• Assist with business risk assessments and other risk management activities throughout the organisation.
• Monitor sanctions alerts and regulatory notifications, escalating potential matches as necessary.
• Maintain awareness of regulatory developments and aid in the communication of updates across the business.
• Support the preparation of compliance reports and documentation for internal governance forums.
• Assist with policy and procedure updates, thematic reviews, and other compliance-related projects as required.

Job Requirements:

• Experience in a compliance, risk, or regulated financial services environment.
• Familiarity with AML/CFT requirements, client due diligence, and regulatory compliance processes.
• Analytical skills to identify issues, assess risk, and apply sound judgement.
• Attention to detail with the ability to review information meticulously and maintain accurate records.
• Organised with the capability to manage multiple tasks in a structured manner.
• Strong communication skills to present information and findings clearly and professionally.
• Collaborative attitude and comfort in working with colleagues across the organisation.

What You’ll Love:
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This role offers the opportunity to be an integral part of maintaining and enhancing the firm's reputation for compliance and risk management. Employees thrive in a collaborative environment, with the chance to develop skills in regulatory oversight and risk-based management. The organisation values professional growth and provides extensive opportunities for training and career advancement.

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