Senior Compliance Administrator

Key Responsibilities

• Responsible for ensuring all regulatory updates are recorded and communicated appropriately and in a timely manner. To include, where relevant, consideration for the impact such changes may have on the business. Lead on the production and amendment of relevant P&Ps that may require to be updated from time to time to ensure adherence to new regulatory updates and to ensure that the P&Ps are fit for purpose

• Manage the production of data in relation to updates of any relevant Codes of practice relating to Fund Service business, Trust and Company business and with specific relation to AML/CFT updates
• Assist with the production of annual MLRO / MLCO reports for managed entities and certified funds or any ad-hoc reporting that maybe required from time to time in relation to the MLRO/MLCO roles for both clients and Langham Hall
• Support the Compliance leadership in ensuring that all action points generated by the initial review, periodic review and monitoring process are actively monitored and closed/completed as necessary
• Liaise with the Associate Director (Compliance) on a monthly basis providing statistics in relation to all action points generated / closed and completed by the initial review / periodic review and the compliance monitoring programme for distribution to management
• Liaise with the Associate Director, (AML) and co-ordinate and ensure completion of the client initial review forms

• Assist with the planning and delivery of AML/CFT/CPF induction training to new starters within time frames set in the businesses policies and procedures
• Assist with the planning and delivery of AML/CFT/CPF refresher training to all staff in accordance with the time frames set in the businesses policies and procedures

• Fully understand and stay up to date with requirements of AML/CFT regulations and guidance handbooks (Jersey) and those regulations applicable to LHFMJ and its clients
• Lead the preparation of all new client files, including, but not limited to the review of new business take-on forms, the creation of client due diligence profiles and risk assessments
• Work with the to resolve and find solutions to meet CDD requirements where difficult CDD cases arise, maintaining a commercial approach
• Take responsibility for the upkeep of records for the CDD elements of new business files (hard and electronic copies)
• Be responsible for the production of the orange compliance files ensuring these are completed fully in a consistent manner
• Assist the Compliance Officer and/or MLCO, MLRO to co-ordinate the preparation of the client Business Risk Assessments and Risk Mitigation Programs to include preparing and populating templates.
• Assist the Compliance leadership team with any AML monitoring visits from service providers
• Assist the Compliance leadership team to complete the CDD review process for client entities and in scope investors

• Maintain, develop and improve the AML/CFT/CPF framework of LHFMJ.
• Assist with the completion of responses to regulatory enquiries including thematic reviews and satisfying the National Risk Assessment project requirements
• Work with the Associate Director, Compliance, Anti Money Laundering and the Compliance officer to ensure robust compliance? with the relevant Codes of Practice
• Assist with the production and maintenance of management information and reports when requested
• Promote a strong culture of AML/CFT compliance to all staff.
• Provide support to Langham Hall offices in other jurisdictions in respect of AML/CFT/CPF related queries
• Assist and provide advice to the Guernsey business in respect of all AML matters
• Completion of the Guernsey client compliance monitoring programme, until such time as this can be transferred to the Guernsey team
• In addition to the duties listed above, provision of assistance to the Associate Director, Compliance, Anti Money Laundering or wider compliance team may be requested to perform any other ad hoc duties or projects

• Develop and maintain good relationships with other staff members
• Ensure all work is conducted in accordance with internal procedures
• Complete daily timesheets
• Maintain the highest standards of confidentiality and security in terms of client affairs and records
• Monitor performance against personal and developmental targets
• Identify areas where further training for staff would be beneficial and bring these to the attention of the directors, assist in the arrangement of training and compliance education.
• Maintain a record of Continuing Professional Development activity undertaken during each year
• Have an excellent understanding of anti-money laundering legislation and client due diligence requirements for a financial service business and its clients
• This position is required to be performed in Jersey

Skills, Knowledge and Expertise

• Educated to at least ‘A’ level standard or equivalent, a degree level qualification would be advantageous.  Preferably completion of or studying towards the AML / Compliance qualification (e.g. ICA Compliance Diploma/Certificate or AML Diploma/Certificate)
• Previous experience in the CDD, KYC, AML/CFT and Compliance and Risk environment is essential; ideally three years’ demonstrable experience in a Compliance position

• 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

• 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 Jersey legislation and a detailed understanding of the Fund Service Business and Trust Company Business Codes of Practice and guidance notes
• 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

Benefits