Compliance Manager – Conduct of Business

Overview

Skills Required

  • A University degree in Accountancy or equivalent/Final stages of ACCA qualification
  • An ability to work to and meet agreed deadlines
  • Ability to work under pressure
  • Competence in Excel, general IT and accounting packages
  • A minimum of 3 years’ experience in a similar role
  • Experience in audit would be ideal, but not necessary
Tab Item Content

Skills Required

  • A University degree in Accountancy or equivalent/Final stages of ACCA qualification
  • An ability to work to and meet agreed deadlines
  • Ability to work under pressure
  • Competence in Excel, general IT and accounting packages
  • A minimum of 3 years’ experience in a similar role
  • Experience in audit would be ideal, but not necessary
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Department: Compliance

Employment Type: Permanent, Full time

Role & Key Responsibilities:

To support the Head of Compliance (“HoC”) and MLCO in discharging their Key Person duties and responsibilities for all aspects of legal and regulatory compliance, in accordance with agreed objectives.

Ensuring the business meets the requirements imposed by the JFSC, industry best practice and Apex Group requirements by providing support and direction to the regulated companies of Apex.

Whilst the role does not carry any regulated positions, the incumbent will take on the Data Protection Officer position for Apex Jersey.

  • Holding the position / discharging the responsibilities of Data Protection Officer for the Apex Jersey companies
  • Assisting the HoC / MLCO in providing compliance guidance to the Apex Jersey business  (reporting to the relevant Boards of Directors in this regard)
  • Assisting with preparation of the Apex Jersey (and regulated client, as required) Board / Committee Compliance reporting
  • Attendance at Apex Jersey Board / Committee meetings, as required
  • Delivering training to the business, as required
  • Compliance responsibility for the Breaches Incidents and Complaints process, including chairing weekly senior management meetings and managing the Incidents Reporting mailbox
  • Responsibility for overseeing the content of the registers maintained by Compliance, including (but not limited to):
    • Breaches and Incidents register and defects database
    • Complaints register
    • Conflicts of interest register (including for certain regulated clients)
    • Regulatory Correspondence
    • Regulatory / Legal Updates
    • Advertising and marketing
  • Review of material communications to JFSC, including where relevant client communications
  • Reviewing ceasing to act notifications and monitoring appointments to ensure JFSC are notified within the requisite timeframes
  • Assisting the HoC / MLCO with Compliance reviews of new business files
  • Managing the regulatory aspects of the Apex Jersey companies’ audit process for Compliance and input to certain client regulatory audits, as required
  • Accurate preparation of (Apex Group and local) reporting and key risk indicator information within agreed timeframes
  • Assisting the HoC / MLCO with policy and procedure (including departmental) reviews and updates, including the mapping of legislative / regulatory changes and JFSC publications
  • Assisting the Head of Compliance / MLCO with the JFSC’s risk-based supervision data collection and completion of periodic jurisdictional AML/CFT returns, as required
  • Input into the periodic regulatory risk assessment / compliance monitoring planning process
  • Coordinate the review and settlement of Apex Jersey’s annual regulatory fees
  • Assisting with ad-hoc tasks / projects, as required
  • Assisting other members of the team with shared workloads, as required
  • Assisting with the mentoring, development and coaching of team members, as required
  • Ensuring own knowledge of and compliance with relevant policies and procedures
  • Maintaining a clear understanding of the risks involved in all business activities carried out and escalating any identified concerns to relevant stakeholder
  • Maintaining an up to date understanding of the relevant legal and regulatory requirements, commensurate with responsibilities
  • Strong academic background and industry relevant experience and / or professional qualifications, preferably an ICA qualification.
  • Sound working knowledge of statutory requirements and financial services legislation, together with relevant guidance notes and Codes of Practice.
  • Sound knowledge and application of relevant AML/CFT legislation, the AML/CFT Handbook and relevant guidance notes and codes of practice.
  • Previous experience of working within in a similar role within a fiduciary setting.
  • Confident in using all systems necessary for day-to-day tasks and ability to identify own training needs.
  • Good interpersonal skills and excellent standard of oral and written communication, including ability to effectively communication with colleagues at all levels.
  • Ability to present ideas in user-friendly, business-friendly and technical language.
  • Analytical and problem-solving abilities.
  • Ability to effectively prioritise and execute tasks in a fast-paced environment.
  • Good organisational and administrative skills, with the ability to identify and suggest procedural improvements.
  • Good working knowledge of Word, Excel, Outlook with the ability to learn other relevant Ability to multi-task, prioritise workloads and manage timescales.
  • Attention to detail and accuracy.

 

  • A genuinely unique opportunity to be part of an expanding large global business.
  • Exposure to all aspects of the business, cross-jurisdiction and to working with senior management directly.

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR) please visit our CSR policy page.

If you are looking to take that next step in your career and are ready to work for a high performing organisation, alongside talented people who take pride in delivering great results, please submit your application (with your CV, cover letter and salary’s expectations) to our dedicated email address: [email protected]

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Life At Apex

"Working here I have the space to be creative, take ownership and develop continuously. It’s a great company with a purpose, which in turn enables its people to identify with the core values and mission."

Diane Mero, Office Manager, Dubai

What we look for

We look to recruit bright, articulate and numerate employees who are not afraid of a challenge and are prepared to work hard and love what they do. Every employee plays a part in making our business what it is today and the more we grow, the more important that becomes.

 

Whatever your career path, ambition or skillset you will be joining an entrepreneurial environment and become part of a globally connected team. We don’t just want you to succeed, we want you to flourish.

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