Oak Group offers innovative private client, corporate and fund administration services tailored to our clients' needs. The Group is headquartered in Guernsey and has offices in Jersey, Mauritius, the Isle of Man and The Bahamas. We prioritise continuous growth and development of our people, recognising that their success is the foundation of excellent client service and business growth.

Oak Group is seeking a highly experienced and motivated Senior Compliance Manager to join our Compliance team in Guernsey. This pivotal role will include formal appointment as a named individual under the GFSC’s regulatory framework for both Trust and Fund.

You will also develop, implement, and maintain a robust compliance monitoring programme as well as provide clear, pragmatic regulatory advice and compliance assurance to business lines, management and governance committees.

​The successful candidate will hold a relevant qualification e.g. ICA as well as having a minimum of 7 years' experience in a similar role within financial services. Advanced knowledge of the fiduciary services sector and in particular the products and services which Oak Guernsey offers together with strong understanding of Corporate, Trust and Fund Structures is essential.

Compliance Manager - Guernsey

Intro:

The Compliance Manager, Support Services will assist the Compliance Team in ensuring that the Guernsey business of CSC complies with applicable laws, regulations supervisory requirements, internal policies and procedures through internal controls and actions; with the ultimate objective being to provide assurance to management and protect the Group’s good name and reputation. To ensure that all activities undertaken are in accordance with the various laws and regulations pertaining to the Guernsey regulatory licenses. 

As a result, the responsibilities encompassed by the role are wide-ranging and the Manager will be given consistent opportunities to:

•              deepen their understanding of the Guernsey regulatory landscape;

•               be a key contributor to important internal operational processes and projects; and

•              understand how compliance requirements interact with a complex financial services business. 

The Key Responsibilities for the role are noted below and as a Manager you will also be expected to undertake any such duties that are deemed a reasonable requirement, for example, participating in any relevant projects that are related to the role.

Some of the things you will be doing (either as lead or assist as appropriate):

· Support the Compliance Monitoring Program;

· Manage all relevant Compliance registers;

· Liaise with the wider business to ensure that ongoing action points and CDD issues are resolved; 

· Assist with both the substantive and administrative responses to Breaches, Errors, Omissions and Complaints;

· Help prepare relevant Compliance analysis for the processes of on-boarding new clients and reassessing existing clients; 

· Review high risk files/issues and other matters escalated from within the business; 

· Contribute to the review and drafting of Compliance policies and procedures as needed;

· Support all needed record-keeping processes;

· Contribute to internal management reporting and external regulatory reporting as needed;

· Develop strong working relationships with all Guernsey-based business units and relevant staff, and leverage these to provide advice and guidance on internal procedures and external regulatory matters as appropriate 

· Be open and willing to contribute to Group projects as needed and collaborate with CSC staff from other offices as appropriate; 

· Consistently maintain good knowledge of Guernsey regulatory requirements and expectations, with a focus on a detailed understanding of the GFSC Handbook on Countering Financial Crime and Terrorist Financing and how its provisions impact the business; 

· Be a good example to the rest of the Compliance team and the wider business in terms of always looking to identify ways that policies and procedures can be improved and escalating any concerns, as well as always adhering to the requirements under the CSC Guernsey Corporate Governance Charter and the firm’s Code of Conduct etc. 

· Ensure that both the CSC internal procedures as well as the Guernsey anti-money laundering and terrorist financing regulations are complied with to the extent required by your role, especially in respect of the reporting of suspicious activity or transactions, client due diligence and record keeping.

What technical skills, experience, and qualifications do you need:

· Previous compliance experience, preferably at the grade of Manager or Assistant Manager or equivalent;

· Prior relevant experience in regulated finance or professional services;

· Must be able to demonstrate sound organisation skills and supervisory experience;

· Possess a solid understanding of the business and regulations applicable;

· Qualified by experience or hold a professional qualification such as ICA Diploma, STEP, ICSA or similar; and

· Strong technical IT skills.

Are you in the market looking for your next short-term contract opportunity? We have an array of attractive contract and temporary jobs available!

Whether you are in between jobs, looking for flexibility or are wanting to apply your experience in a project based environment, we have clients who turn to us for assistance with a variety of roles.

Currently, we have the following positions available:

• Banking Account Manager - 6 Months - GSY
• Pensions Administrator - 6 Months - GSY
• Assistant Manager, Private Client - 12 Months - GSY
• Designer - 9 Months - GSY
• Senior Resourcing Administrator - 12 Months - GSY
• Administrator, Co-Sec - 12 Months - GSY
• Assistant Company Secretary - 6 Months - GSY
• Compliance Monitoring Officer - 6 Months - GSY
• Legal Manager - 9 Months - GSY
• Senior Paralegal - 9 Months - GSY
• Corporate CDD Analyst - Ongoing - GSY/JSY
• Receptionist / Office Administrator - 6 Months - GSY
• Trust Administrators - Ongoing - GSY
• Bookkeeper - Part Time - Contract/Perm - GSY
• Company Secretarial - Funds - Contract/Perm - GSY
• CDD Analysts - Contract/Perm - GSY
• Senior Trust Officer- Contract/Perm - GSY

If you are available immediately or coming toward the end of your current assignment, get in touch with Marcel on 714634 or apply today with your CV.

Senior Administrator – Operations and Business Support

Praxis is an independent, leading provider of bespoke private wealth, corporate administration and yacht services to companies, individuals and families across the world.

Our expertise and experience is driven by recruiting and retaining the brightest and best, and creating a culture that allows people to thrive. Our independence encourages an open culture where every voice is valued. We care about creating an environment that hears, supports and shares openly with all our people.

Teamwork and collaboration are at the heart of our approach, and we nurture an environment of openness and respect where everyone feels valued.

Be heard. Be part of the Praxis Group.

Our central services team provides centralised support to the Group. A career with us provides the chance to work with colleagues across our global network, delivering support across technology & business systems, marketing & communications, finance & accounting, compliance & risk, HR, facilities and administration.

Job summary:

To ensure that there are sufficient processes, procedures and reporting systems in place to monitor, review, assess and minimise client operational & AML/CFT risk within the business, whilst acting in accordance with the local Laws, Orders, Codes of Practice and Regulations and Group policies.

In particular the post holder is expected to work with the other departments to ensure that systems & controls are fully effective; up to date and compliant with our regulatory obligations.

Job accountabilities:

Data Processing & Review

· Company secretarial duties for in-house companies (non-lead licensee companies).

· Maintenance of statutory records for in-house companies.

· Administrator of the Banking platforms.

· Manage banks’ requests for information where Praxis has an introducer status.

· Set up of contact cards on Acumen.

· Assistance with un-allocated post.

· Preparation of RORASQ documentation for Annual Validation filing deadlines

· Provide administrative support for the Acumen database in relation to statutory data.

· Provide support pan-island in the alignment of data in Acumen and the standardisation of policies & procedures as they affect the team.

· Assist with various projects as arise from time to time in relation to collation & reconciliation of data.

· Assist with data reconciliation and exception reporting, including weekly audit report of Acumen, weekly outstanding source of funds and monthly original client due diligence reconciliation.

Other

· To assist with and provide cover for the Guernsey Registry submissions and management of the data held in Acumen & at the Registry.

· To assist with the management of the Annual Confirmation Statement filings process.

· From time to time to also undertake specific additional tasks or projects as advised.

Professional Qualifications and Experience

· A minimum of 5 years’ relevant experience

· Guernsey Company secretarial experience

Skills and Knowledge

· IT aware preferably with Excel & Word basics.

· Organised, with attention to detail and accuracy of data input.

· Strong analytical skills.

· Risk awareness & awareness of regulatory reporting requirements.

· Strong communication and interpersonal skills.

· Team player.

· Ability to maintain complete confidentiality.

Additional Information

In addition, all our team members are expected to be committed to our core values:

· We inspire

· We listen

· We trust

· We succeed together