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Senior Compliance Manager - Fund Services

Apply now Job no: 514413
Work type: Full time
Location: Jersey
Categories: Group Legal & Risk
Office Location: Jersey

Job Purpose:

To provide support to the Fund Services corporate compliance function of the Jersey trust and corporate business. Act as Deputy to the Compliance Officer and through successful team management, develop, deliver, maintain and continuously improve a robust compliance framework, whilst leading and influencing the development of a compliance culture within TMF. 

Compliance is defined as, but not limited to:

  • compliance with the Codes of Practice for Trust Company Business, Fund Services Business, AML/CFT sanctions regulations and other regulatory requirements;
  • compliance with TMF Group’s internal policies and processes;
  • any additional regulatory compliance for TMF Group following from its licensed activities in the funds business;
  • compliance to corporate ethics and code of conduct;
  • monitoring and oversight of errors, breaches and notifications.

Key Responsibilities:

Compliance Framework design and implementation

  • Ensuring that the Compliance Policies and Procedures are maintained on an ongoing basis in accordance with relevant laws, regulations and guidance;
  • On-going maintenance of mapping document, listing all relevant Compliance laws and regulation, JFSC Code of Practice and other relevant JFSC policies to confirm that all requirements are catered for in policies, procedures, training material, internal guidance, etc. 

Compliance Advisory

  • Ensuring that a consistent, proportionate, and risk based approach is applied to all compliance matters.
  • Assist the Compliance Officer with providing compliance advice and support across the trust company business to ensure the resolution of compliance issues.

 

Coompliance Controls

  • Responsible for reviewing all existing compliance policies to ensure that they continually meet regulatory and best practice requirements.
  • Ensure proper action plans are made and implemented to address upcoming changes in regulation and best practice.

 

Compliance Monitoring

  • Establish the requirements of a risk-based compliance monitoring program.
  • Deliver and maintain the compliance monitoring program.
  • Identify and ensure that findings are reviewed and impact considered to determine if changes may be required to policies, procedures, controls, training, etc.

 

Compliance culture and training

  • Preparation and delivery of training materials as relevant.
  • Day to day responsibility for the ongoing training and management of any junior members of the team.

 

Compliance reporting

  • Maintain key registers.
  • Assist with the preparation of management information for board / committee reporting.
  • Develop, maintain and monitor appropriate and proportionate compliance reporting standards to enable the business to achieving objectives and strategy.
  • Ensure that compliance controls are well documented for internal and external purposes.
  • Prepare data and statistics required by the JFSC.
  • Respond to production orders, legal notices and TIEA notices, and liaise with the Comptroller.
  • Deputise for the Compliance Officer during any periods of absence to include all day to day responsibilities of an CO as may be required.
  • Have an understanding and adhere with all applicable TMF Group and local policies and procedures.
 
 
 

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Applications close: GMT Standard Time

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