Assistant Manager, Regulatory Compliance Monitoring & Testing WMI

  • Job Reference: 7560
  • Date Posted: 28 July 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 post is key to ensure adequate regulatory and compliance risk management and controls for WMI UK based business, including execution of annual Compliance Monitoring Plan across Jersey and Guernsey regulated legal entities; taking part in administering Conflicts of Interest suite of policies (Gift and Entertainment, Outside Business Interest, Personal Account Dealing); Governance & Reporting of findings following Compliance Monitoring Plan reviews for  Director; helping draft training materials for policies; administer attestations and other controls related to M&T core compliance program; respond to internal and external audit and regulator inquiries; collaborate with Compliance teams to report findings from M&T program and obtain feedback to enhance Compliance Monitoring Review scope.
Candidate will have University degree and/or appropriate designations as Compliance Professional; good knowledge and prior work experience within the CI financial regulatory environment; strong understanding of current European regulatory developments impacting the wealth management industry; detailed understanding and awareness of CI Business Codes of Conduct Rules and FI Compliance best practices; understanding and awareness of services provided by private wealth management businesses.
Five years continuous residence in Jersey required.