Senior Compliance Officer

We have an exciting opportunity for someone with at least 5 years' experience in the lending industry, both in Jersey and the United Kingdom, and a relevant qualification to join our Compliance team on a permanent basis.

The purpose of this role is to assist the Compliance Officer in carrying out the compliance function and data protection function for the Prospect Group and ensuring that our Clients comply with the law and the relevant policies and procedures, and by assisting with standalone or ongoing projects intended to support or extend the compliance function.

To apply please send a copy of your CV and a covering letter to

Important Information

Residency:                   5 Years residency required

Employer:                    Prospect Capital Limited

Start date:                   29 Mar 2019

Closing date:               10 May 2019

Job Reference:             [MLO-001]

Contract:                     Permanent

Hours:                         Full Time

Salary:                         £50,000 p/a

Qualifications, Skills and Experience:

  • Minimum a Bachelor’s degree holder with preference for Master’s degree;
  • Minimum 5 years’ experience in a company compliance environment;
  • Possess a relevant compliance qualification;
  • Experience in information system auditing;
  • Have a good understanding of anti-money laundering and client due diligence requirements for a lending business and its clients.

Key Responsibilities

  • Assist the Compliance Officer with the review of potential new clients, including reviewing new business take-on forms, client due diligence profiles, risk assessments, client identification documents and other documentation as appropriate;
  • To be the main point of contact for all in-house systems and change of client data system;
  • Carry out online client due diligence checks using specialised online systems and general internet searching;
  • Assist the Compliance Officer with on-going monitoring and ensuring client due diligence information for all clients meets internal and statutory standards, including remedial action and liaison with administrators where necessary;
  • Assist the Compliance Officer with the carrying out of testing as required under the Compliance Monitoring Programme;
  • Assist with the maintenance of compliance files, registers, monitoring spreadsheets or databases;
  • Assist with the preparation of compliance related management information and reports;
  • Consider or suggest ways of improving internal procedures and practices encountered whilst performing principle responsibilities and assist with their implementation;
  • Provide back up support and assistance to other members of the Compliance team as and when appropriate;
  • Assist business development executives with queries they may raise on compliance or client due diligence issues; and
  • Assist with or carry out any other projects as requested from time to time by the Compliance Officer.
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