Reports to Compliance Manager

The purpose of this role is to act as the Compliance Analyst specialising in a wide range of regulatory matters and assisting in the quarterly compliance monitoring programmes with a view to becoming a key advisor to the business, clients and investors on regulatory compliance matters. The role requires daily liaison with other Risk and Compliance employees, client facing teams and directly with our clients.

Key responsibilities:

• Assist with compliance monitoring programs for a range of licensed and regulated fund structures
• Assist with information gathering and initial preparation of compliance reports based on compliance monitoring activity
• Review and maintain the schedule of Periodic Client Reviews completed by client teams
• Act as a first point of contact and oversight for any day-to-day compliance related queries from client teams
• Provide support to the Compliance Manager / Officer with day-to-day compliance activities
• Monitor and maintain various regulatory registers, including breaches and complaints
• Monitor any regulatory and legislation updates and assist with updating and developing policies and procedures
• Monitor and maintain the Regulatory Updates spreadsheet
• Monitor and maintain Data Protection Calendar
• Complete New Client Checklists
• Monitor and maintain the Key Person Appointment Schedule/Correspondence Register
• Monitor and maintain the Compliance in-box
• Assist with information gathering for audits
• Maintain a working knowledge of key global regulatory initiatives, such as AIFMD and FATCA

Skills, knowledge, expertise:

• 2+ years in a compliance focused role within the financial services sector
• Some knowledge of the Channel Islands regulatory framework in respect of Fund Service Business
• Able to demonstrate a team player attitude
• Excellent communication and relationship building skills are required to develop close working relationships with colleagues, clients and business contacts
• Good time management and organisational skills
• An analytical approach with good research skills
• Ability to work under pressure while maintaining accuracy and quality standards
• Flexible with regards to travel between Jersey and Guernsey
• A high level of integrity and professionalism
• Working knowledge of Microsoft products (Word and Excel)

Who are we?

Aztec Group has come a long way since first opening its doors in Jersey back in 2001. Our size and reach may have changed, but one thing that hasn’t is our identity – we’re proud to be a business that puts our people and clients at the centre of everything we do.

We understand that everyone will put value on different things and that’s why our employee package includes a variety of benefits. Here are some of the core benefits for all our people: 

• Competitive salary
• Discretionary bonus scheme
• Flexible, hybrid working
• Generous holiday allowance
• Pension scheme
• Private medical insurance, including eye care
• Permanent health insurance
• Life assurance (death in service and critical illness benefit)
• Worldwide travel insurance
• Ability to work abroad for up to 3 weeks per annum
• Regular social events
• Health and wellbeing programmes
• Significant investment into your personal and professional development 

We will provide the training, both in-house for relevant technical knowledge and also professional qualifications to enhance your professional development. You will need to be quick to learn new systems and great with people, as close working relationships between our colleagues and clients is at the heart of what we do.