Stonehage Fleming provides a range of services from long-term strategic planning and investments to day-to- day advice and administration to over 250 families of wealth. The Group employs over 500 people in 13 offices in 8 jurisdictions around the world.
The position reports to the Head and Deputy Head of Risk & Compliance, Jersey
To manage the control functions of the Jersey Risk & Compliance function and support monitoring plan activities
PRINCIPAL ELEMENTS AND ACCOUNTABILITIES
To perform first line reviews of cash and asset movements (payments, settled funds etc) to ensure, inter alia, that all relevant screening and AML/CFT requirements have been met. Where necessary escalate and/or investigate any potential issues
Perform reviews of client acceptance AML/CFT process and documents where relevant
To control the ongoing screening of our client base (e.g. via RiskScreen Batch), escalating/investigating and potential matches and/or issues to senior management where relevant.
Assist with compliance monitoring
Assist in maintaining all compliance operational risk registers ensuring that all necessary follow up and reporting takes place in a timely manner
Be the focal point for enquiries from external auditors and obliged person reviewers ensuring that all requests are attended to in a timely manner
To assist with developing and delivering training to the business.
Assistance with the maintenance of policies and procedures
Review the quality of periodic AML and client reviews of Stonehage Fleming client base
Other tasks as requested by senior management
ASSOCIATE - COMPLIANCE ADMINISTRATOR QUALIFICATIONS AND EXPERIENCE
Hold or agree to work towards a compliance related qualification at at least certificate level
Experience in a risk or second line compliance role would be preferable but not mandatory
Experience in the fiduciary service area of the finance industry is preferable
Relevant basic compliance and risk expertise, within a financial services firm. Demonstrates sound judgment and decision making skills – able to deal effectively with a principles based approach
Good working knowledge of JFSC Codes of Practice and the AML/CFT Handbook
Credibility in a range of skills/levels (compliance, operational risk, fraud, business continuity)
Excellent oral and written communication skills
Strong interpersonal and conflict management skills. Able to engage others to manage identified issues to resolution
Computer literacy (Word, Excel, Outlook) with an ability to quickly learn/understand other in-house systems
We are keen to consider full time candidates for this opportunity. This job description is a guide to the principal, current duties of the job. It does not form part of the contract of employment / secondment.