Senior Compliance Officer – Jersey

Permanent contract|Jersey|Legal / Taxation / Compliance

Senior Compliance Officer – Jersey

Kleinwort Hambros
Jersey, Channel Islands Permanent contract Legal / Taxation / Compliance

Responsibilities

Description of the Business Line or Department

The key objective of the Compliance team within SGKHCI is to ensure that the Registered Person complies fully with all its legal and regulatory obligations relating to Financial Services and AML/CFT. Primary focus will be on regulatory compliance assessing the conformity of Laws, Regulations together with internal code of conduct, policies and procedures applicable to its business.


Summary of the key purposes of the role

Support the Registered Compliance Officer for the Jersey Bank and act as Deputy in periods of absence

Assist other Seniors of the CI CAFC Team on specific Compliance related requests

Provide a pro-active and innovative approach to risk management in an evolving regulatory environment.

To assist the Compliance Officer and CI Head of Compliance and other CAFC colleagues to provide guidance to management and staff of SGKHCI so that the business remains compliant with all relevant regulations, legislation and best practice guidance.

Implementing and maintaining internal controls, policies and procedures pertaining to the Compliance function

To be the central point of contact for the SG Kleinwort Hambros Bank (CI) Limited in respect of compliance advice.

To provide backfill assistance in monitoring the effectiveness of compliance controls and regularly reporting to senior management.

Work with colleagues across Group offices to develop and maintain a ‘good compliance culture’ throughout the business.

To work with other functions to ensure that SG Kleinwort Hambros Bank (CI) Limited 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 provide day to day counsel and advice on both SGKH policies and procedures but also on regulatory matters for the C.I.

To participate in various projects including, providing strategic guidance, research, devising policies and procedures

Summary of responsibilities

  • To provide necessary guidance and support to ensure the business in the Channel Islands complies with local Compliance regulations
  • Provide support and guidance to SGKHCI staff in all matters of compliance regulation for the Bank and its licenced activity and general compliance advisory.
  • Analysis and identification of compliance risks.
  • Escalate any identified potential weaknesses in the controls within SGKHCI.
  • Develop and strengthen relationships with the business heads, relationship managers, operations managers and staff to promote best practice and ensure a good understanding of compliance requirements.
  • Identify training needs, develop appropriate tools, draft training decks and the deliver face-to-face training.
  • To assist in the production of periodic reports, on a formalised basis, or as soon as made aware if considered necessary, covering all aspects of wider Compliance/Regulatory issues.
  • Producing reports for the Head of CI CAFC, the Board and CI Management when required.
  • Overseeing the completion of operational risk control assessments for compliance matters.
  • Assessing forthcoming regulatory legislation and its impact on SGKHCI’s business and regulatory change agenda.
  • In liaison with the CM Team, assist with the implementation of the monitoring programmes to check that business continues to be conducted in compliance with all relevant obligations.
  • Perform all duties in accordance with the principles outlined in the SGKH Code of Conduct, as well as the policies and procedures relevant to your responsibilities, to ensure that you adhere to a culture that treats clients fairly and focuses on the long term sustainability of client relationships.
  • Attendance (when required) at various Committees as the CI Compliance representative.
  • Liaise with the Core Compliance Team, UK Compliance Advisory Team and Compliance Monitoring Team.

Profile required

Competencies

Ideally:

Educated to tertiary level

Compliance qualification (ICSA)

Investment qualification and or worked in this environment for 3 years

Competencies

Individual contributor competencies as defined in the SG Leadership Model

Proven track record of compliance experience minimum

Experience in Private Banking, Wealth Management, Investment knowledge

Team Spirit & Collaboration

Strong 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 SGKH

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

Why join us

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.

Business insight

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 Société Générale, 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.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 20000QZ1
Entity: Kleinwort Hambros
Starting date: 2021/02/08
Publication date: 2020/12/08
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