Assistant Manager, Regulatory Compliance Monitoring & Testing WMI

  • Job Reference: 7302
  • Date Posted: 28 April 2022
  • Website: https://www.thomasdessain.com/
  • Location: Jersey
  • Salary: On Application
  • Sector: Compliance/Risk/Internal Audit
  • Job Type: Permanent
  • Work Hours: Full Time

Job Description

This role is a key member of Wealth Management International CI Regulatory Compliance Monitoring & Testing Team ensuring adequate regulatory and compliance risk management and controls for WMI UK based business.  Duties involve taking part in execution of annual Compliance Monitoring Plan across Jersey and Guernsey regulated entities and licences; ensuring status is maintained aligned to WMI business activities; taking part in administering Conflicts of Interest suite of policies (Gift and Entertainment, Outside Business Interest, Personal Account Dealing); drafting reports of findings following Compliance Monitoring Plan reviews; drafting training materials for WMI CI core policies; administering attestations and other controls related to M&T core compliance program; responding to internal and external audit and regulator inquiries; reporting findings from M&T program and obtaining feedback to enhance Compliance Monitoring Review scope.
Requirements are University degree and/or appropriate designations as Compliance Professional; prior experience in CI financial regulatory environment; strong understanding of current European regulatory developments impacting wealth management industry; detailed understanding of CI Business Codes of Conduct Rules and FI Compliance best practices; understanding of services provided by private wealth management businesses.
Five years continuous residence in Jersey required.