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| Job Details: |
Job
Title: |
Compliance Officer - * |
| Reference: |
SP6878 |
| Date
Added: |
23 July 2010 |
| Job
Type: |
Contract |
| Key Skills: |
Fund Administration, Compliance, finance |
| Description: |
Location - Channel Islands. You will be responsible for :-
Provide advice, guidance and support to all business units on GFSC Rules and Regulations, and the interpretation thereof.
Day-to-day interaction with the business;
Assist with the preparation of periodic fund, themed and desk reviews in accordance with the Compliance Monitoring Programme;
Investigate and log breaches of GFSC Rules and other requirements set out in fund offering documents; escalating any breaches to management for onward reporting/action.
Monitor, analyse and record incorrect pricings. Recommend appropriate courses of action to prevent recurrence. Escalate findings to management to facilitate timely reporting to the Custodian and other relevant parties.
Liaison with Investment Advisers and Custodians on interpretation of guidelines and rules;
Consider and recommend responses to Custodian visit report findings;
Monitor and follow up issues on the Compliance Tracker to ensure timely remediation is taking place;
Assist in the preparation of reports to management; and
Provide support and guidance in respect of the CDD undertaken in respect of investors, promoters and investment managers’ et al.
Person Specification
sound knowledge and understanding of regulatory environments
proven analytical skills
ability to work as part of a team
a number of years in a compliance/risk management role preferably in a fund administration/investment services business
Previous experience required
experience in asset management or fund administration
experience in Compliance
understanding of local rules and regulations relating to investment business
experience of working for a significant financial services group
Education and Professional Qualifications
DESIRABLE:- Compliance qualification or relevant Securities Institute qualification |
| Location: |
* |
| Salary: |
£40,000 to 60,000 DOE |
| Contact Name: |
Samantha Powell |
| Company: |
Wilde Associates |
| Telephone: |
01908 500810 |
| Fax: |
01908 500811 |
| Website: |
Visit advertisers website |
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