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Client Compliance Officer

Apply now Job no: 516837
Work type: Full time
Location: Guernsey
Categories: Group Legal & Risk, Client Relationship Management, Client Corporate Secretarial
Office Location: Guernsey

 

About TMF

In an environment of ever increasing globalization we provide professional services in 80+ countries to help our clients operate across borders. Whether entering a new market or driving in country growth we ensure they stay focused on their core business, taking the stress away from their accounting, legal and HR responsibilities.

We are embarking on an ambitious growth plan which will be achieved through strong organic growth, the entrance to new markets and completion of acquisitions. This provides a truly dynamic work environment to build a successful career and see a tangible impact from the work that you complete.

 

Job Purpose

To deliver the service of Compliance Officer, Money Laundering Compliance Officer and Money Laundering Reporting Officer for multiple client regulated entities of TMF Guernsey where TMF are contracted to offer such services, with the principle aim of supporting the client Boards to ensure that all requirements of relevant Legislation and Guidance are being met, as well as adherence to internal TMF control framework

 

Key Responsibilities

Compliance Officer

  • Develop and keep up to date the content of client compliance monitoring plans;
  • Undertake compliance monitoring reviews relating to Guernsey Investment Licensed entities authorized and registered (closed and open ended) funds, including the completion of periodic monitoring reviews;
  • Provide regular Board compliance reports to the client boards;
  • ensuring that any compliance monitoring findings identified are tracked and remediated by the relevant TMF business area;
  • Develop and maintain client compliance procedures;
  • Keep client Boards up to date with changes in regulatory requirements;
  • Pro-actively participate in training programs on compliance and business-related matters as required;
  • Identifies areas of risk and/or inefficiencies and recommends best practice;
  • Participate in team projects in relation to changes to regulatory requirements for regulated client entities; function as a project lead or primary consultant on large projects with technical components;
  • Maintenance of all client specific registers/logs including but not limited, regulatory correspondence, outstanding monitoring findings and breaches and complaints register;
  • Liaise with internal and external auditors for provision of information as appropriate;
  • Assist with preparation of monthly and ad hoc management reporting as required;
  • Liaise with the Guernsey Financial Services Commission where required to seek advice and report information.

 

MLRO

  • Receive and assess any reports made by the business concerning ML/TF suspicions on client entities, liaising with the TMF legal entity MLRO where necessary;
  • Make prompt disclosures to the FIS via their online portal if after considering a report there is knowledge or a suspicion of ML/TF;
  • Maintain a record of all requests for information from law enforcement authorities and records relating to all internal and external client related SARs;
  • Manage relationships effectively post disclosures to avoid tipping off any external parties;
  • Act as the liaison point with the GFSC and the FIS and in any other external enquiries in relation to ML/TF for client entities;
  • Update client entities in relation to ML/TF including providing  periodic information to client Board(s).

 

MLCO

  • Regularly monitor and test compliance with systems and controls (including policies and procedures) in place to prevent and detect money laundering and financing terrorism – supported as necessary by the legal entity MLCO;
  • Report periodically, as appropriate to the Board, on compliance with TMF Guernsey’s systems and controls and issues that need to be brought to the Board’s attention. 

 

Key knowledge and experience

  • 10 years’ experience in a FSB business and preferably previously GFSC approved
  • A professional qualification. E.g. ICA, ICSA, STEP or equivalent
  • Expertise in all MS Office packages (Word, PowerPoint, Excel, Outlook). Other software packages as appropriate.
  • Fluent in both written and spoken English

 

Working at TMF Group offers

Learning opportunities: you will work with highly experienced colleagues who are ready to share their knowledge, and will receive the opportunity to work on diverse and complex client requests. You will also be able to apply for and be supported for training.

Value-driven work environment: you can expect integrity and respect from all your colleagues and your leadership team.

Teamwork: an environment where we learn from our mistakes and work together to improve our processes continuously. A no-blame culture where teamwork is important, valued and lived daily.

Ambition: we are a growing company in which we constantly look for the next opportunity and where all ideas are welcome.

 

Advertised: GMT Daylight Time
Applications close: GMT Daylight Time

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