The Commission is recruiting for an Analyst to join the Enforcement Division in an investigator role.
The Enforcement Division investigates matters, and where appropriate, takes or proposes action against firms and individuals which do not comply with regulatory requirements.
The Commission's use of its enforcement powers is an important component in the delivery of its regulatory objectives which are: to provide effective supervision of the financial services sector; to make recommendations to the States of Guernsey on schemes for the statutory regulation of finance business, to counter financial crime and the financing of terrorism, to maintain confidence in the Bailiwick's financial services sector and to ensure the safety, soundness and integrity of the Bailiwick's financial services sector.
In delivering its statutory objectives, the Commission is committed to a fair, proportionate, consistent, and responsive use of its enforcement powers, to achieve effective outcomes. Furthermore, by publication of enforcement outcomes the Commission can effectively raise awareness of regulatory standards, and demonstrate its commitment to regulation in accordance with agreed international standards.
General responsibilities within the Enforcement Division include:
- Identifying, investigating and taking action against those conducting business in breach of regulatory and corporate regimes.
- Conducting statutory investigations, including arranging and undertaking on-site visits to licensees to investigate reported breaches of the regulations, obtain evidence, conduct interviews, preparation of Notices, preparation for meetings; attending meetings; preparing accurate notes of meetings etc. in reasonable, proportionate, efficient and fair manner.
- Managing the day to day running of their respective enforcement cases by liaising as appropriate with the referring supervisory Division.
- Evaluating evidence and formulating reports of investigative findings for consideration by the Assistant Director and Director of Enforcement, containing clear conclusions and recommendations and include, where appropriate, relevant cases, and reputation risk.
- Investigating cases efficiently/time effectively, in compliance with Enforcement policies and priorities as laid down by the Commission.
- Attending on-site firm visits to interview, as appropriate, licensees and responsible persons under investigation by the Enforcement Division.
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