Job Description
Company Description
We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms.
Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.
Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.
We’re driven by our Group purpose, to power people and possibilities.
Job Description
You will be working with the Client Compliance team in the delivery of the annual Compliance Monitoring Programme for supervised and regulated client entities in Jersey, by completing Compliance Monitoring tests to ensure that the client entities are compliant with relevant legal and regulatory requirements and internal policies, procedures and processes. You will also assist in drafting governance and compliance reports for these clients on a periodic basis.
This includes to ensure that clear and accurate records are maintained within the function.
Core Responsibilities
- Conduct the Compliance Monitoring tests allocated in a timely manner
- Draft governance and compliance reports allocated in a timely manner
- Adhere to the defined documentation standard when conducting testing and compiling reports
- Document Compliance Monitoring action points and follow up until they are closed
Tasks
- Assist with the delivery of the annual Compliance Monitoring Programme for relevant client entities
- Conduct allocated Compliance Monitoring tests of the regulated and supervised client entities in Jersey in a timely manner
- Ensure each test is properly documented in line with the defined standard
- Ensure accurate storage of evidence and supporting documentation
- Agree any action points (timeline, risk rating) with the Client Compliance Team and the client administration teams
- Ensure accurate and concise Compliance Monitoring test results and/or reports for each test conducted
- Track and oversee all open and overdue action points raised and provide regular reporting to the Client Compliance team on the status
- Provide regular updates to the Client Compliance team in relation to the progress of the tests undertaken
- Liaise with the Client Compliance team and client administration teams to collect relevant information for periodic governance and compliance reports for client entities
- Prepare drafts of governance and compliance reports for client entities
- Continue and maintain relevant technical knowledge, ensuring CPD requirements are met
- Deliver the highest level of Compliance service in line with our Group Values
- Ensure compliance with applicable laws, service standards, company policies and procedures and applicable operational and control processes
Qualifications
Required Experience and Skills
- Strong academic background and/or recognized Compliance qualification
- Experience in Compliance/Compliance Monitoring and/or Internal Audit
- At least 5 years of experience
- Good understanding of the regulatory requirements related to Trust and Funds business
- Excellent team player
- Excellent organisational skills and attention to detail
- Excellent communication skills
- Good numeracy, analytical and monitoring skills
- Good IT knowledge and proficiency with relevant IT applications
Key Behaviours
In addition to upholding our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:
- Hands-on’ and pragmatic and solutions driven
- Risk aware and demonstrates high level of integrity
- Practical and methodical in approach
- Resilient – can work in a fast-paced environment
- Self-motivated
- Ability to adapt to change
- Developing capability
- Building confidence
- Approachable
- Facilitating teamwork and collaboration
Additional Information
OUR COMMITMENT TO YOU AND THE ENVIRONMENT
Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.
There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.
Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.
We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.
