Senior Compliance Administrator/Manager

This is a great opportunity for a driven and talented individual to make a real difference as part of a dedicated and professional team.  The Senior Compliance Administrator/Manager will act as CO and MLRO for LHG and LHG’s established and new real estate and private equity clients.

The main areas of responsibility for this role are to provide detailed and timely advice and reports for LHG and their clients, in order to assist fee earners in meeting their regulatory obligations and to assist with a broad range of compliance and risk management duties which focus on ensuring that LHG regulatory obligations and risk management objectives are fulfilled. 
 
These areas of responsibility will include ensuring compliance with the applicable laws and regulations as well as applicable anti- money laundering and countering the financing of terrorism (AML/CFT) legislation covering inter-alia customer due diligence (CDD) requirements, data protection / confidentiality and LHG's own compliance and risk management policies and procedures.  
 
The core compliance team for Langham Hall in the Channel Islands is based in Jersey and the Senior Compliance Administrator will be supported by that team and be the key compliance staff member in Guernsey.
 
Application Deadline
September 30th 2019
Department
Compliance
Contract Type
Full Time
Location
Guernsey
Reporting To
Compliance Director

Key Responsibilities

Compliance Monitoring (including Periodic Reviews) and Reporting:
  • To have oversight of and perform where necessary all compliance monitoring work in relation to the corporate services business periodic reviews and updating the review tracker and outstanding points arising from the reviews and managing action points through to completion with the business administration teams
  • To have oversight of and perform where necessary all compliance monitoring work in relation to the monthly, quarterly and annual compliance monitoring of Fund Services Business and Guernsey Regulated Funds, to draft the compliance reports based on the monitoring findings for the compliance officer to review, and to update the review tracker and any outstanding points arising from the monitoring and managing action points through to completion with the business administration teams
  • To provide the Compliance Director with management information as required for committee/boards or other meetings

AML/CFT:
  • Provide detailed CDD advice and support to the teams on regulatory CDD requirements including compiling and signing-off CDD elements of the investor files (hard and electronic copies) 
  • Complete enhanced due diligence checks, internet searches, being familiar with regulatory websites and advising on client CDD requests and documentation requirements
  • Analyse potential investors and clients, guide the teams through CDD requirements for unit trusts and corporate structures ( e.g. foundations, trusts, limited partnerships corporate shareholders / owners and PEP and high risk LHG clients)   
  • Fully understand and stay up to date with requirements of AML/CFT regulations and guidance handbooks (Guernsey) and those regulations applicable to LHG.  Advise the Compliance Director of any areas that need attention within the business
  • Work with the Compliance Director to resolve and find alternative solutions to meet CDD requirements and other regulatory compliance requirements applicable to the LHG business where difficult CDD cases arise maintaining a commercial approach
  • Complete detailed independent review and sign off of CDD packs, monitor and follow up if necessary, maintain monitoring / tracking records and elevate any concerns as required.
General:
  •  Review and update policies and procedures for all regulated entities, suggesting areas for modification based upon training needs, monitoring results and general levels of awareness across the business
  • Identify AML and LHG policies & procedures and processes that require streamlining or modifying and proactively work with the Compliance Director to make the required changes.
  • To mentor junior team members, providing support and guidance in order to develop their understanding
  • To ensure that all client related deadlines and deliverables that impact the compliance team are actively managed, and strive to meet all deadlines utilizing the junior team where necessary
  • To provide advice and possible solutions to the business on Compliance matters and be a point of contact for the wider business
Assisting with the corporate management of Langham Hall Guernsey:
  • Drafting of infrastructure procedures and other internal documents; 
  • Sourcing other services as required;
  • Assisting with the Compliance needs of the Guernsey office.
Ad hoc projects to assist the principals with growing the business.

In addition to the duties listed above, the Senior Compliance Administrator may be requested to perform any other ad hoc duties or projects as requested by management.

Skills, Knowledge & Expertise

Technical Knowledge / Skills Required
  • The candidate will have a good knowledge of the statutory and regulatory requirements of fund and trust company businesses, the regulatory regime under which we operate and the fund products we administer. 
  • Knowledge of Guernsey legislation and a detailed understanding of the funds secto
  • A good understanding of anti-money laundering legislation and client due diligence requirements for a financial service business and its clients.
  • The candidate will be expected to participate at meetings and have responsibility for ensuring the accurate and timely completion of reports and compliance related documentation. 
  • Ability to effectively present information and respond to questions from groups of managers and especially clients. 
  • Ability to solve practical problems and deal with a variety of situations for which there may be little precedence.
  • The candidate must above all have excellent interpersonal and communication skills.  Strong organisational and time management skills are essential.
  • Ability to work within a team to mentor, coach and carry out on-the-job training with more junior staff.
  • Ability to write reports, business correspondence and procedure manuals. 
  • Be self-motivated, adaptable and flexible in approach to the work
  • Ability to use initiative and work independently.
  • High attention to detail and accuracy.
  • The candidate should have an intermediate to advanced experience of Microsoft Office, mainly Word, Excel and Outlook, google and/or other search engines.


Minimum Education / Qualifications
  • A Levels / Degree
  • AML / Compliance qualification (e.g. ICA Compliance Diploma/Certificate or AML Diploma/Certificate) 

 
Previous Experience
  • Previous experience in the CDD, KYC, AML/CFT and Compliance and Risk environment is essential; ideally three years experience in a Compliance position.
  • Previous experience as MLRO/MLCO/CO preferable.


Management / Supervisory Responsibilities
  • Supervision, coaching and mentoring of junior staff.

Benefits

Langham Hall invests in people and developing them professionally.  We are extremely proud of our leadership-focused culture which fosters a dedicated, approachable and collaborative way of working.  We offer the opportunity to progress your career and support the study of professional qualifications. 

About Langham Hall

Langham Hall’s success as a professional services firm depends on employing talented individuals.  We develop our people through the provision of quality leadership and training. We are proud of our culture and seek out people that believe in our values.

Langham Hall employees are dedicated to delivering a first-class service to clients. Management and staff identify early opportunities to play an active part in client meetings. This level of engagement ensures that we develop strong, lasting relationships with our clients and that Langham Hall staff feel engaged and challenged in their work.  

Our teams work in collaboration with all teams across the business as well as with our offices in other jurisdictions.

We invest in our people, providing support and encouragement in their professional growth and development. Staff receive intensive training and, where applicable, full exam tuition and study support.

Langham Hall has extremely low staff turnover with Managers' average tenure being over four years. This emphasises the loyalty and trust that Langham Hall has earned from its people through the promotion of a positive working culture.

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Application Deadline
September 30th 2019
Department
Compliance
Contract Type
Full Time
Location
Guernsey
Reporting To
Compliance Director
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