Compliance Manager

Bourse Trust Company Limited

Job Overview:

We are seeking a skilled and dedicated Compliance Manager to join our team at a well- established trust company based in Guernsey. The ideal candidate will have extensive experience in compliance within the trust and fiduciary services sector. As Compliance Manager, you will be responsible for overseeing the company’s compliance framework, ensuring adherence to all applicable laws and regulations, (in conjunction with the external Compliance Officer/MLCO and MLRO).

Key Responsibilities:

Compliance Management:

• Develop, implement, and maintain the company’s compliance policies and procedures to ensure adherence to relevant local and international regulations, in accordance with the Guernsey Financial Services Commission (GFSC) and other regulatory bodies.

• Act as a subject matter expert on all compliance matters within the company and provide guidance and advice to senior management and staff.

• Monitor and report on the company’s compliance with legal and regulatory requirements, ensuring timely and accurate reporting to relevant authorities.

• Conduct regular risk assessments and audits to ensure compliance with internal controls and identify areas for improvement.

• Oversee the development and delivery of compliance training programs for staff members, ensuring all employees are up to date on current regulations and best practices.

• Responsible for the compliance sign-off of all new business and clients. • Responsible for monitoring complaints. • Oversee the customer due diligence (CDD) process and ensure the timely and accurate

completion of client risk assessments. • Control and oversee completion of the various registers that the company is required to

keep.

Liaison and Reporting:

• Act as the primary point of contact with regulatory authorities, including the GFSC, for all compliance related matters.

• Act as the primary point of contact for the external MLCO/ Compliance Officer and MLRO with regard to compliance issues and matters arising from the CMP testing programme.

• Prepare and submit regulatory reports, including annual compliance reviews, regulatory filings, and other required documentation.

• Prepare Board Reports, as appropriate in conjunction with the external MLCO/Compliance Officer and MLRO.

• Ensure effective communication and coordination with external auditors, legal advisors,

and other stakeholders.

Leadership and Team Management:

• Lead and manage the Compliance and Operations Administrator, providing training, guidance, and support as needed.

• Foster a culture of compliance within the organisation and ensure all staff understand and adhere to compliance policies.

Key Requirements:

• A minimum of 5 years’ experience in a compliance or regulatory role, preferably within the trust, fiduciary, or financial services industry.

• Strong knowledge of Guernsey regulatory framework. • ICA (International Compliance Association) or equivalent qualification in Compliance. • Exceptional communication and interpersonal skills with the ability to advise and

influence stakeholders at all levels of the organisation. • Proven ability to manage multiple projects, prioritising tasks in a dynamic and fast-paced

environment. • High attention to detail, analytical skills, and the ability to identify and mitigate potential

compliance risks.

If you are a proactive and experienced Compliance Manager with a passion for maintaining high compliance standards, we would love to hear from you.

Compliance Analyst / Senior Compliance Analyst Albany is looking for an enthusiastic, hard-working and motivated compliance or risk professional to join our Regulatory Compliance Team, either at analyst or senior analyst level. Duties, Responsibilities and Tasks

• Taking ownership for Albany’s compliance monitoring programme, including undertaking testing, compiling test results and ensuring any actions identified are completed

• Overseeing the management of Albany’s Corporate Governance Risk Committee, including setting up meetings, taking minutes and managing actions arising from the meetings

• Assisting the CO/MLCO with quarterly board reporting • Undertaking sanctions screening on Albany’s clients and maintain it’s Sanctions

Screening Register • Contributing to updates of policies and procedures • Responsibility for day-to-day review of regulatory notices and identifying any actions

that Albany may need to undertake to comply with these. • Assisting the Board and CO/MLCO with updates to Albany’s compliance framework

including updating it’s Business Risk Assessments and other key internal documents • Contributing to the maintenance and development of Albany; s Compliance Risk

Assessment • Assisting the CO/MLCO with developing Albany’s compliance staff training plan with the

potential to provide training to staff as required • Providing support with the review and maintenance of Albany’s risk registers • Providing compliance support to staff across the business including the Client Services

Teams and Operational Compliance Team • On occasion, attending Albany’s Business Committee and providing feedback from

compliance for new business cases Nominated Officer (“NO”)

• Potential to take on Albany’s Nominated Officer role following successful completion of probation. This part of the role will include but not be limited to the following:

o Deputise the responsibilities of the MLRO in their absence including receipt, acknowledgment and review of SRAs

o Supporting the MLRO should the need arise. For example, upon receipt of a production order from an applicable regulatory body.

Key competencies

• Relevant compliance or legal qualification such as ICA Certificate or equivalent • 2+ years previous experience in a similar risk based environment • Solid understanding of the GFSC regulatory framework • Analytical approach and mindset • Excellent attention to detail • Strong communication skills

PTIA Pro-Active

• Responsive to colleagues, clients, third party intermediaries and new business enquiries; and

• Open to developing new initiatives and improving client experiences.

Technical • Professionally qualified or willingness to undertake such studies; • Uses technology effectively, continually evolving policies and procedures; and • Develops bespoke client reporting skills.

Informed

• Embraces development of skill set and knowledge through training, development and experience.

Administration • Motivated to deliver efficient and effective services

Application Process Please apply by email including full c.v. to Helena Leslie, Human Resources Manager h.leslie@albanytrustee.com All applications will be treated in confidence. Diversity and Inclusion Statement We welcome enquiries from disabled people and value diversity in our workplace. We will make reasonable adjustments to our application process for candidates who indicate that, owing to a disability, our arrangements might leave them disadvantaged. If you have a disability which you believe may affect your performance, we will be happy to make reasonable adjustments for you.

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Job Description

Role: Manager, Alliance Driver, Risk Assurance Services

Location: Guernsey or Jersey

Line of Service: Advisory

Grade: Manager

Contracted Hours per Week: 37.5

PwC Channel Islands Overview

PwC is a highly dynamic professional services firm offering Advisory, Tax, Audit and other

assurance services to a large portfolio of international and local clients. The Channel Islands

firm employs 600+ staff in offices across Jersey, Guernsey and Alderney and is part of an

international network of 151 PwC firms employing over 364,000 staff.

Job Summary:

As part of the Risk Assurance Team, you will drive the Microsoft Alliance strategy for our Firm.

As a manager you will supervise and develop teams, manage client accounts, and facilitate the

successful execution of strategic initiatives while maintaining quality standards.

Those in Alliance at PwC will be responsible for establishing partnerships with companies to

better serve our client’s needs. You will build relationships to complement PwC’s strategy

through execution capabilities that allow PwC to deliver multi competency programmes and

solve client’s most critical business issues. Working in this area, you will develop and execute

the strategy and business plan, focus on market penetration and revenue growth, and identify

opportunities for solution development and industry alignment. You will also build relationships

with key Alliance executives, identify synergies between the technology and the Firm and

collaborate with cross-functional teams.

Responsibilities:

We are seeking an experienced Manager to join our Risk Assurance Services practice to be the

focal point for our key technology Alliance relationships.

Responsibilities include:

• Manage client accounts to confirm alignment with strategic initiatives.

• Drive the execution of exceptional deliverables across projects.

• Identify and implement unique propositions for the Microsoft Alliance.

• Foster collaboration and communication within the Alliance team.

• Confirm adherence to professional standards and quality benchmarks.

• Analyse market trends to inform strategic direction and pipeline development.

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Direct Reports:

● This role reports to:

○ Senior Manager, Director/s

● Reporting to this role:

○ Associate

○ Senior Associate

Qualifications & Certifications:

• Minimum Degree Required:

Bachelor’s Degree, Master’s degree preferred

Certification(s) Preferred:

• MBA, Chartered Institute of Marketing, MSc Computer Science, BSc Computer Science

Skills & Experience Required:

Essential skills:

• 5 year(s) of Partner & Alliance Management, relationship management experience with

a track record of driving demand generation and driving successful programs.

• You excel in relationship management, collaboration and in building and nurturing

strategic partnerships.

• You have excellent communication skills – both oral (for interviews/meetings,

presentations) and written (for designing and writing engaging reports which

communicate recommendations and actions succinctly and clearly convey the message

in a way which is appropriate for the audience and rooted in the client’s needs).

• You have a keen eye for detail and strong focus on encouraging quality work by all team

members, and a constructive approach to developing and mentoring colleagues with

those goals in mind.

• You have experience helping client’s effect substantial and complex business change,

and experience of assuring or enabling change at scale is desirable.

• You have experience providing expert strategy, risk and technical advice, guidance and

support on technology solutions, both in business-as-usual and for live and planned

projects within our clients’ business.

Travel Requirements:

Limited travel will be required in this role (up to 25%).

The skills we look for in our people:

All our people need to demonstrate the skills and behaviours that support us in delivering our

business strategy. This is important to the work we do for our business, and our clients. These

skills and behaviours make up our global leadership framework, Evolved PwC Professional.

The Evolved PwC Professional focuses on two core behaviours: Trusted Leadership and

Distinctive outcomes. Trusted Leadership is underpinned by core behaviours that Inspire,

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Empower and Evolve, and Distinctive outcomes is underpinned by behaviours that Champion,

Build and Deliver.

Diversity:

We work in a changing world which offers great opportunities for people with diverse

backgrounds and experiences. We seek to attract and employ the best people from the widest

talent pool as well as those who reflect the diverse nature of our society. We aim to encourage a

culture where people can be themselves and be valued for their unique strengths. Creating

value through diversity is what makes us strong as a business. https://pwc.to/2vY6KZm.