Compliance Analyst – Private Markets, Guernsey | TISE

Careers

Compliance Analyst – Private Markets, Guernsey

TISE is seeking to recruit a Compliance Analyst – Private Markets to join our Compliance team based in our Guernsey office. The Compliance Analyst will be joining a dynamic and forward-thinking team and report to the Head of Risk & Compliance. The Compliance Analyst will be responsible for conducting Customer Due Diligence (CDD) for new and existing customers on TISE Private Markets (TPM) with the procedures and policies, Compliance Framework and Manual, as well as thorough active testing as part of the Compliance Monitoring Programme (CMP). The role will also provide support and knowledge transfer to the business primarily, the Listings and Market Regulation departments. 

Duties and responsibilities include:

  • Conduct CDD for new customers
  • Carry out periodic risk reviews on customers
  • Conduct screening of issuers, corporate and natural persons
  • Conduct transaction monitoring for TPM customers
  • Provide knowledge transfer and share expertise to members of the Listings and Market Regulation departments
  • Contribute to CMP testing and the maintenance of TPM KYC/AML policies and procedures, as well as ensuring any CMP test findings are accurately recorded and escalated for resolution.
  • Educate staff through training, in their responsibilities regarding compliance and the impact on TISE/TPM/themselves if these are not fulfilled.

The key competencies for this role include proven experience in a CDD/AML role, including practical knowledge and experience of CDD/AML requirements, knowledge of relevant financial regulations and industry standards, an understanding of, and experience of working with different corporate structures across different jurisdictions, natural curiosity and a questioning mind-set and demonstrable alignment with our Company values.
 
This exciting role can provide career and development opportunities in a growing organisation. If you are interested in this role and would like to see a full copy of the job description, please email Laura Cornelius at laura.cornelius@tisegroup.com.