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Single Circle

Director of Governance, Risk & Compliance – Jersey business
Jersey

Type
Compliance
Single Circle

Director of Governance, Risk & Compliance – Jersey business

Our client is an international and award-winning corporate, private client and fund administration business where expertise, drive and an ambitious nature are rewarded. They are private equity backed and well-positioned to capitalise on the huge growth opportunities they see globally.

We are looking for an experienced individual who will serve as liaison between the Regulatory and Compliance function and other business functions and build relationships to ensure productive collaboration on the development and implementation of Regulatory, Compliance and Risk policies and processes.  They will ensure effective relationships are maintained with Regulators through liaising with local teams, advisors and the Regulators directly. Ideally, at least 10 years of professional experience within Regulatory/Compliance is required, together with Risk Management and/or Governance experience. 

Principal accountability:

Compliance Officer "CO":

  • Perform the key person role of CO.
  • Have direct access to the Board and provide regulatory and compliance advice and assistance to the Board as required.
  • Ensure appropriate monitoring of operational performances and managing regulatory and compliance risk.
  • Regularly monitor that internal policies and procedures are being consistently and effectively adhered to.
  • Assessing and recommending amendments to internal systems and controls as well as policies and procedures to facilitate compliance with the regulatory framework.
  • Where appropriate promptly instigate action to remedy any deficiencies in the robust arrangements.
  • Provide senior management and the Board with regular written reports in respect of the Board’s compliance with the requirements of the Financial Services (Jersey) Law and the Codes.
  • Act as the principal point of contact with the Commission on day to day regulatory matters.
  • Reporting to the Board on Key Risk Indicators, including details of errors and breaches.
  • Ensure that the Regulatory and Compliance Strategy is suitable for purpose, and maintained so as to keep pace with legislative amendments and initiatives.
  • Ensure that all new business is taken on in compliance with “Client Take-on” Procedures.

General:

  • Assist with the update and review of the business risk assessment by the Board.
  • Assist in the management of relevant committees, working groups, and the policy management function. To provide relevant regulatory and compliance advice to the members of such committees and ensure that they have access to support required to perform their function as a member of the Committee.
  • Develop, implement and deploy Risk & Governance processes that will help the Board of directors identify, understand and manage risks.
  • Ensure that policies of the Group are suitable to manage risk.
  • Provide the Board with management information on relevant Key Risk Indicators.
  • Promote a culture of Risk Management awareness and accountability through education of line management and consultative support.
  • Help the Board assess the Regulatory and Compliance risks associated with product/services for delivery to existing and potential clients.
  • Work with directors, legal and other groups inside and outside of Regulatory, Compliance and Risk to execute the agreed objectives.
  • Work with the senior management of the Group to implement the strategy in order to achieve the Group’s stated objectives.
  • Ensure that the Board of Directors are kept appraised of any relevant matters.
  • Provide technical assistance as required.
  • To assist in the technical training and development of more junior team members.
  • To assist in the management and support of the GRC team.
  • To be aware of and identify potential risk issues.
  • Assist client facing staff and team members and advise where necessary on regulatory matters.
  • To record all time on the Company’s time recording system and ensure narrative is clear.
  • Such other duties as the management may at times reasonably require. 

Please contact Shelley Kendrick in confidence to find out more, email shelley.kendrick@kendrickrose.com 

Reference
KR11014

Location
Jersey

Salary
Negotiable

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Key Contact

Shelley Kendrick

Managing Director
01534 715151
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