Full Description

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About TMF Group
TMF Group is a leading provider of critical administrative services, helping clients invest and operate safely around the world. We provide legal, financial and employee administration through TMF Groups teams in 120 offices.

 

Job Purpose

The Client Compliance Manager will serve as the Compliance Officer, Money Laundering Compliance Officer (MLCO), and Money Laundering Reporting Officer (MLRO) for multiple client-regulated entities within TMF Guernsey. The primary aim of this role is to support client boards in ensuring compliance with relevant legislation and guidance while adhering to TMFs internal control framework.

 

Key Responsibilities

• Compliance Monitoring: Develop, update, and maintain client compliance monitoring plans.
• Compliance Reviews: Conduct compliance monitoring reviews for Guernsey Investment Licensed entities, including closed and open-ended funds, and complete periodic reviews.
• Board Reporting: Draft and present regular compliance reports to client boards.
• Remediation Tracking: Ensure that any compliance monitoring findings are tracked and remediated by the relevant TMF business area.
• Procedure Development: Assist in the development and maintenance of client compliance procedures.
• Regulatory Updates: Keep client boards informed of changes in regulatory requirements.
• Training Participation: Actively participate in training programs on compliance and business-related matters.
• Risk Identification: Identify areas of risk and inefficiencies, recommending best practices.
• Project Involvement: Participate in team projects related to regulatory changes for client entities, serving as a project lead or primary consultant on large projects with technical components.
• Register Maintenance: Maintain all client-specific registers/logs, including regulatory correspondence, outstanding monitoring findings, breaches, and complaints registers.
• Audit Liaison: Work with internal and external auditors to provide necessary information.
• Management Reporting: Assist with the preparation of monthly and ad hoc management reports as required.
• Regulatory Liaison: Liaise with the Guernsey Financial Services Commission (GFSC) as needed to seek advice and report information.
• Data Collation: Assist with regulatory returns and the collation of data from TMF business units.

 

Accountabilities

• ML/TF Reporting: Receive and assess reports concerning money laundering/terrorist financing (ML/TF) suspicions related to client entities, liaising with the TMF legal entity MLRO as necessary.
• Disclosure Management: Make prompt disclosures to the Guernsey Financial Intelligence Unit (GFIU) via their online portal when necessary, and maintain records of all related activities.
• Relationship Management: Manage relationships effectively post-disclosures to avoid tipping off any external parties.
• Regulatory Communication: Serve as the liaison point with the GFSC, GFIU, and other external bodies regarding ML/TF for client entities.
• Client Updates: Provide periodic updates to client boards regarding ML/TF matters.

 

Professional Experience and Qualifications

• A relevant Compliance Qualification (ICA Diploma level or equivalent) is preferred.
• 3-5 years of experience in a similar role.
• Proficiency in MS Office (Word, PowerPoint, Excel, Outlook) and other relevant software.
• Fluent in both written and spoken English.
• Ability to work independently while maintaining strong relationships with internal functions.
• Previous experience in reporting to boards is highly desirable.

 

Competencies

Operational Excellence

• Makes decisions based on insight and knowledge, impacting the immediate team.
• Ensures high standards of delivery to clients.
• Engages with customers to understand their needs, prioritizing client service and satisfaction.
• Stays up-to-date with business trends and legal changes that impact the role.

 

Commercial Awareness

• Understands TMF Groups business lines and local regulatory requirements.
• Demonstrates the impact of actions on the immediate team.

 

Leadership and Resource Management

• Plans, coordinates, and manages resources to deliver accurate, timely, and professional results.
• Shares knowledge to help the team meet targets.
• Manages expectations of senior colleagues informally and regularly.

 

Interpersonal Skills

• Manages internal and external stakeholders' expectations effectively, escalating concerns as needed.
• Handles conflict in a controlled manner and can persuade executive-level staff.
• Builds credibility with all stakeholder groups.
• Engages with individuals across all areas of the organization on areas of specialization.

 

Client Excellence

• Manages client expectations, ensuring they feel valued.
• Proactively identifies opportunities and seeks solutions.
• Ensures relevant information is obtained and shared appropriately.
• Takes responsibility for delivering superior products and services.
• Implements improvements to client service.

 

Compliance

• Acts with the highest level of integrity at all times.
• Acts in the best interests of TMF, considering the interests of TMF customers where appropriate.
• Produces accurate and timely work while acting in a professional manner.
• Communicates clearly, openly, and transparently with TMF colleagues and customers.
• Promptly reports any issues or potential issues to a manager or senior management team member for resolution.
• Never makes statements that are misleading, false, or deceptive.

For more information please visit https://careers.tmf-group.com/cw/en/job/574351.

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