Strong technical knowledge and detailed understanding of Guernsey regulatory requirements, including AML/CFT/CPF obligations; holding an ICA Diploma or being willing to undertake this level of profess
Ideally at least five years’ of experience in a similar position within a funds, corporate, private wealth or family office business.
Knowledge of the legal and regulatory requirements relevant to the activities carried on by Suntera Guernsey, particularly in relation to fiduciary, fund and corporate services.
Ability to work independently, exercise professional scepticism and provide constructive challenge to administrative and client-facing teams on compliance matters.
Strong written and verbal communication skills, with the ability to produce clear file notes, reports, action trackers and board or committee papers.
Good computer literacy, particularly with Word, Excel, case management systems, screening tools and compliance reporting data.
High levels of motivation, problem solving, initiative and attention to detail.
Ability to plan ahead, prioritise competing deadlines and proactively manage internal relationships.
Ability to deliver goals and support the wider team in meeting agreed response times.
Ability to identify opportunities to improve efficiency, strengthen controls and enhance the quality of compliance outputs.
Full description
The purpose of the role is to work as a proactive member of the Compliance Department, supporting strong compliance standards across the local business in accordance with applicable regulatory and financial crime requirements, as well as Group-wide compliance standards. You will work collaboratively within the local Compliance Department and, where opportunities arise, with colleagues across the wider Group. Your work will be performed in line with local internal controls and the Global Compliance Framework. In support of those holding prescribed regulatory roles, you will help maintain an effective compliance oversight framework and provide a consistently high standard of advice, monitoring, challenge and reporting. This will be achieved through maintaining, monitoring, planning, developing and enhancing the efficient and effective operation of the Compliance Department, while providing practical support and direction in relation to the client services provided by Suntera.
This role is intended to support the development of an individual with a strong interest in progressing within the compliance oversight function, including towards future deputy MLCO or MLCO responsibilities in Guernsey, with particular focus on compliance monitoring, policies, procedures and controls, risk-based assurance, regulatory change and board reporting.
You will be responsible for the following tasks and duties:
Collaborate with colleagues across the business to manage and respond to daily Compliance Department tasks, queries and referrals.
Provide clear, practical compliance guidance to client-facing and operational teams, escalating complex or material matters to the Head of Compliance, MLRO or MLCO as appropriate.
Support the MLCO in monitoring and testing the effectiveness of the firm’s policies, procedures and controls, including the Compliance Monitoring Programme, thematic reviews, control testing, findings management, remediation tracking and escalation of material issues.
Assist with the design, delivery, documentation and enhancement of the Compliance Monitoring Programme, including risk-based sample testing, thematic reviews, reporting of findings, action tracking and trend analysis.
Contribute to the review, drafting, maintenance and implementation of Compliance-owned policies, procedures and controls, ensuring they remain aligned to applicable Guernsey regulatory requirements, Group standards, business risk assessments, CMP findings and regulatory change.
Support the maintenance of the local business risk assessment framework by helping to collate risk information, identify control gaps, track actions and evidence board or committee review and approval where required.
Review client files, onboarding records, CDD, EDD, trigger events and periodic reviews to assess whether records are complete, risk-based, up to date and consistent with internal procedures.
Assistant Manager, Compliance at Suntera Global (Guernsey, Guernsey) — aijobsearch
Advise on client risk assessments, including higher-risk relationships, complex structures, source of wealth, source of funds, PEP exposure, adverse media and jurisdictional risk considerations.
Advise on enhanced due diligence requirements and support the documentation of rationale, approvals, mitigating controls and ongoing monitoring arrangements.
Perform and review sanctions, PEP and adverse media screening alerts, including initial investigation, documentation, escalation and follow-up actions as required.
Assist with regulatory inspections, internal audits, external assurance reviews and the timely clearance of identified exceptions, recommendations and remediation actions.
Assist with regulatory filings, notifications, returns and information requests for the business, ensuring submissions are accurate, complete and appropriately evidenced.
Support the implementation of recommendations and actions arising from the Risk & Compliance Committee, Operations Committee, board meetings, audits, monitoring reviews and regulatory engagement.
Assist with the preparation of management information, board and committee reporting, including analysis of breaches, exceptions, training completion, monitoring outcomes, regulatory change, sanctions activity and remediation progress.
Monitor applicable regulatory change, research new and existing laws, regulations, policies and industry standards, and assess the potential impact on local policies, procedures, controls and business practices.
Maintain awareness of GFSC publications, thematic findings, sanctions notices, MONEYVAL-related developments, enforcement outcomes and industry guidance relevant to Guernsey fiduciary, fund and corporate services activity.
Support the identification, recording, escalation and monitoring of compliance breaches, control weaknesses, risk events and emerging themes.
Assist with suspicious activity escalation processes by supporting internal information gathering, record keeping and liaison with the MLRO, without making disclosure decisions unless formally authorised.
Support employee screening, compliance induction, annual training and targeted refresher training, helping to promote a strong compliance culture across the business.
Prepare compliance questionnaires, due diligence responses and internal or external reporting packs, ensuring responses are accurate, consistent and approved where required.
Attend meetings as required on behalf of the Head of Compliance or Compliance Managers, and record actions, decisions and follow-up points clearly.
Assist with ad hoc compliance projects, including system, process, data quality and regulatory readiness initiatives.
Carry out any other tasks required to support the Head of Compliance, MLRO, MLCO or Compliance Managers.
Requirements
You will be a dynamic, proactive and rigorous individual with excellent communication skills, sound judgement and the confidence to apply a risk-based approach. The following attributes would also be advantageous:
Strong technical knowledge and detailed understanding of Guernsey regulatory requirements, including AML/CFT/CPF obligations; holding an ICA Diploma or being willing to undertake this level of professional study.
Ideally at least five years’ of experience in a similar position within a funds, corporate, private wealth or family office business.
Knowledge of the legal and regulatory requirements relevant to the activities carried on by Suntera Guernsey, particularly in relation to fiduciary, fund and corporate services.
Ability to work independently, exercise professional scepticism and provide constructive challenge to administrative and client-facing teams on compliance matters.
Strong written and verbal communication skills, with the ability to produce clear file notes, reports, action trackers and board or committee papers.
Good computer literacy, particularly with Word, Excel, case management systems, screening tools and compliance reporting data.
High levels of motivation, problem solving, initiative and attention to detail.
Ability to plan ahead, prioritise competing deadlines and proactively manage internal relationships.
Ability to deliver goals and support the wider team in meeting agreed response times.
Ability to identify opportunities to improve efficiency, strengthen controls and enhance the quality of compliance outputs.
Personal qualities
Integrity, discretion and sound judgement.
Knowledge and attitude that inspire client and team confidence.
Adaptable, versatile and able to respond calmly to changing priorities.
Assertive and confident, with a positive “can do” attitude and the ability to challenge constructively.
Tactful, professional and able to handle sensitive information appropriately.
Emotionally resilient and comfortable dealing with complex or time-sensitive matters.
A positive role model for compliance culture and appropriate office conduct.
A team player with the ability to work independently when required.