Compliance Advisory Manager– Bank and Trust - Jersey

 Jersey - Great Britain       Permanent contract        Legal / Taxation / Compliance

Responsibilities

Description of the Business line or Department

The key objective of the Compliance team within SGPB Kleinwort Hambros is to assess the conformity of internal codes of conduct, policies or internal procedures with legal obligations and best practices applicable to its business.  

Summary of the key purposes of the role

  • To assist the Registered Compliance Officer and Compliance colleagues within the Channel Islands in the facilitation, creation and continuing operation of a robust compliance and control regime within SG Kleinwort Hambros in the CI which ensures compliance with all relevant laws, regulations and internal policies and procedures.

  • To assist in the general development of the regulatory regimes, assist in the formulation, co-ordination of responses in regard to all SG Kleinwort Hambros CI Companies

  • To assist the Senior Compliance Officers and work directly with other CI Compliance personnel, and colleagues in other Group offices to develop and maintain a ‘good compliance culture’ throughout the business.

  • Assist with the review of and provide advice to Management and staff on specific projects as required by the Head of CI Compliance & Financial Crime and the Register officers.

  • To undertake Compliance Advisory activity.

Key Responsibilities

  • Assist in establishing a cohesive risk-based regulatory Compliance Monitoring Programme for the SG Kleinwort Hambros CI Bank, Trust and subsidiaries and reporting on same as required.

  • Ensure Compliance monitoring is undertaken in detail as required.

  • Ensure that regulatory and Group reporting requirements are met as required.

  • Assist in the development and strengthening of relationships with the private bankers, trust managers, operational managers, and all staff to promote best practice and ensure a good understanding of compliance requirements permeates the Group

  • Oversee the Compliance registers within the department across all SG Kleinwort Hambros CI businesses.

  • Review and monitor investment activity to ensure this meets CI regulatory and Group requirements and assist the Registered Compliance Officers in producing reports for presentation to the Boards.

  • Identify and promote improvements in the compliance and control culture of SG Kleinwort Hambros in the CI.

  • Provide support and guidance to all SG Kleinwort Hambros staff in all matters of compliance regulation.

  • Escalate any identified potential weaknesses in controls within SG Kleinwort Hambros CI.

  • Implementing and maintaining internal controls, policies and procedures pertaining to the compliance function.

  • To work with other functions to ensure SG Kleinwort Hambros CI is regulatory compliant.

  • Assist and provide ad-hoc guidance and training to all staff, senior management and Board Directors on regulatory matters as required.

  • To participate in various projects including (i) providing strategic advice (ii) research (iii) devising policies and procedures.


Profile Required

Competencies and Work Experience

  • Individual contributor competencies as defined in the SG Leadership Model

  • 5 years compliance experience

  • Experience in Private Banking/Wealth Management

  • Team Spirit & Collaboration

  • Knowledge of legal regulatory and industry requirements

  • Communication – written and verbal to all levels of the organisation and to external third parties including regulators and law enforcement.

  • Influencing –persuade and influence management and staff across SGHUK

  • Project Management – participate and where necessary lead/manage

  • Strategic & Commercial Awareness – develop and apply commercial awareness and business acumen in all day to day and longer term tasks

Education

Ideally:

  • ICA Diploma in Compliance (or equivalent)

  • Experience in Compliance in preferably Bank, Trust and Investment environments

Languages

If possible: French


Why Join Us

If you feel you have the required experience and qualifications, then please apply to the SG Resourcing Team, and we will manage your application. At Societe Generale, we believe our people are our strength and are core to the success of our business. As such, we search for, recruit and appoint the best available person on the basis of aptitude and ability, regardless of sex, marital or civil partnership status, race, colour, nationality, ethnic or national origins, pregnancy, disability, age, sexual orientation, religion, belief or gender reassignment


Business Insight

People join for the impact they can have on us. They stay for the impact we have on them. A flatter structure offers visibility and exposure beyond that of our competitors, so you know our names, and we know yours. It's personable, human, and inspires success through passion. By encouraging open mindedness and a willingness to share ideas, we have adapted to market changes and thrived through innovation. Bringing words like “hard work” and “dedication” together with “community” and “respect” has enabled us to work collaboratively and build our future together. We call this Team Spirit and it's what makes us different. It's what makes you different.


All our positions are open to people with disabilities

Job code: 19000QZH
Business unit: Kleinwort Hambros
Starting date: 02/12/2019
Date of publication: 16/10/2019
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Compliance Advisory Manager– Bank and Trust - Jersey

Permanent contract   |   Jersey - Great Britain   |   Legal / Taxation / Compliance