NOTE: This role is not open to Relocation or Sponsorship. Jersey residents are eligible to apply.
To maintain risk and compliance oversight mechanisms within the Investment Division to ensure that the business operates in accordance with agreed risk parameters and in compliance with regulatory requirements of the Investment Business and Funds Services Business licences, by supporting the identification, analysis and management of risk arising from the investment operations, maintaining a coherent governance structure for division and undertaking routine risk responsibilities.
Minimum Qualification:
- Diploma in Finance and Accounting
Experience Required :
- 5 - 7 years experience.
- The role requires extensive overall experience in financial services.
- The role requires at least 5 years of experience in the securities industry with thorough working knowledge of risk management and compliance, securities industry regulations, end to end processes and understanding of trade of payment processes
Key Outputs :
- Provide input to the design of the investment division control framework and support the business in the establishment and maintenance of a robust controls’ environment.
- Manage processes relating to breaches, incidents and complaints, review reports, inform relevant parties (3rd parties, Group Risk and Compliance) and follow up on outstanding reports and actions updates. Undertake ad-hoc investigations into breaches, incidents and complaints to identify the causes and ensure that processes are sufficiently robust to prevent any further occurrences.
- Prepare reports, collate papers, collate Key Risk Indicators, analyse risk data and provide insights for the lnvestment Services and Risk meetings to ensure that identified risk are managed in a timely manner.
- Undertake periodic client suitability reviews, Investment mandate monitoring and testing of investment division controls; investigate and report on variances to ensure compliance. Ensure accuracy and confidentiality of investment data.
- Manage and maintain the investment division’s business continuity plans and undertake period risk assessment of systems and suppliers.
Behavioural Competencies:
- Producing Output
- Articulating Information
- Taking Action
- Team Working
- Developing Strategies
Technical Competencies:
- Business Acumen (Audit)
- Business Administration Skills
- Compliance
- Risk Management
- Risk Reporting
- Written Communication
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