Assistant Manager - Operational Compliance Services

We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.  We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms.

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. 

Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. 

We’re driven by our Group purpose, to power people and possibilities. 

You will be working with the Manager and the Compliance Monitoring team in the delivery of the annual Compliance Monitoring Programme for the regulated businesses in Jersey (Trust and Funds business) by completing Compliance Monitoring tests to ensure that the businesses are compliant with relevant legal and regulatory requirements and internal policies, procedures and processes. This includes to ensure that clear and accurate records are maintained within the function. You will also assist the manager in identifying trends within the business, with the objective being to continuously monitor and recommend enhancements to the control framework.

Core Responsibilities 

• Conduct the Compliance Monitoring tests allocated 
• Timely delivery of the Compliance Monitoring tests allocated 
• Adhere to the defined documentation standard when conducting testing 
• Review and sign off Compliance Monitoring action points raised

Tasks 

• Assist with the delivery of the annual Compliance Monitoring Programme 
• Conduct allocated Compliance Monitoring tests of the regulated businesses in Jersey in a timely manner 
• Ensure each test is properly documented in line with the defined standard 
• Ensure accurate storage of evidence and supporting documentation 
• Agree any action points (timeline, risk rating) with the Head of Monitoring and Reporting and the business 
• Ensure accurate and concise Compliance Monitoring reports for each test conducted 
• Track and oversee all open and overdue action points raised and provide regular reporting to the Head of Monitoring and Reporting on the status 
• Provide regular updates to the Manager, in relation to the progress of the tests undertaken 
• Continue and maintain relevant technical knowledge, ensuring CPD requirements are met 
• Deliver the highest level of Compliance service in line with our Group Values 
• Ensure compliance with applicable laws, service standards, company policies and procedures and applicable operational and control processes

Required Experience and Skills 

• Strong academic background and/or recognized Compliance qualification 
• Experience in Compliance/Compliance Monitoring and/or Internal Audit 
• Good understanding of the regulatory requirements related to Trust and Funds business 
• Excellent team player • Excellent organisational skills and attention to detail 
• Excellent communication skills • Good numeracy, analytical and monitoring skills 
• Good IT knowledge and proficiency with relevant IT applications

Key Behaviours

In addition to upholding our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following: 

• ‘Hands-on’ and pragmatic and solutions driven 
• Risk aware and demonstrates high level of integrity 
• Practical and methodical in approach 
• Resilient – can work in a fast-paced environment 
• Self-motivated 
• Ability to adapt to change 
• Developing capability 
• Building confidence 
• Approachable 
• Facilitating teamwork and collaboration

OUR COMMITMENT TO YOU AND THE ENVIRONMENT

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.  

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, across 25 countries - to each achieve their potential.  Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.  

We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.