Senior Compliance Administrator

Sovereign Group
12 Jan 2018
14 Feb 2018
Contract Type
Full Time

Job Title: Senior Compliance Administrator

Duration: Full Time ? Permanent

Location: Guernsey GY1 4LQ

Salary: Negotiable + excellent benefits

The Company

Sovereign has since grown into what is now one of the largest independent financial services providers in the world. We currently manage over 20,000 structures for a wide variety of clients ? companies, entrepreneurs, private investors or high net worth individuals (HNWIs) and their families ? and have assets under administration in excess of US$10 billion.


Responsibilities will include assisting with managing compliance and regulatory risk within the business and undertaking data entry, file review and analysis in relation to client structures.

Duties of our Senior Compliance Administrator

  • Responsibility for conducting compliance monitoring activities in accordance with the Compliance Monitoring Plan, assess levels of and adequacy of compliance, and assist in the production of compliance review reports for senior management
  • Review and preparation of matters relating to new business take-on procedures
  • Liaison with Business Development Managers in relation to new business
  • Encourage staff to comply with regulations and standards and provide advice and guidance on what is required to comply, what constitutes good practice within a regulated environment, and how this is translated into operational areas
  • Undertaking and reviewing due diligence in relation to structures and changes to existing structures.
  • Scrutinising, interrogating and updating compliance records in relation to client structures
  • Responding to internal queries regarding compliance issues
  • Liaising with internal contacts regarding the production of compliance reports
  • Undertaking training of staff as appropriate in relation to the compliance function within the company
  • Undertaking training in respect of compliance and risk evaluation in order to improve knowledge and skills and maintain currency of knowledge in accordance with regulation standards
  • Identify and investigate issues or trends which may adversely affect business compliance and propose any necessary action to promote business improvement.
  • Carrying out risk assessments for client structures
  • Acting as authorised signatory in respect of risk assessments
  • Any other related duties that may be required by the Compliance Manager or a Director from time to time.

Person Specification

Essential criteria includes:

  • Minimum 5 years? experience as a Compliance Administrator
  • Good knowledge of regulatory requirements, local Codes and policy matters
  • A good working knowledge of how to operate Word, Excel and e-mail system
  • Good organisation and communication skills
  • Good attention to detail and analytical skills
  • Must be able to keep client matters strictly confidential
  • Ability to communicate clearly and concisely, verbally and in writing, in English.
  • Ability to follow detailed policies and procedures
  • Ability to manage time and varied workload
  • Good social and presentation skills
  • Amiable and approachable
  • Team player
  • Self-motivated and diligent
  • Proactive in seeking new tasks and seeking to continually improve standards
  • Demonstrates commitment to organisation effectiveness and service delivery

Desirable criteria includes:

  • Trust & Company Administration or Pensions Administration experience, particularly new business procedures
  • Good knowledge of Trust & Company Administration
  • Supervisory skills
  • Multi-tasker

If you would like to apply for the position of Senior Compliance Administrator, please click apply and upload your up to date CV.

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