The Commission is recruiting for a Senior 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 site visits, obtaining evidence, conducting interviews, preparation of Notices, and preparation for meetings; attending meetings; preparing 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 referring supervisory division.
Liaising with international regulators to ensure effective co-operation and exchange of information with regard to regulatory enforcement, disciplinary and financial crime enquiries/investigations.
Leading on visits to licensees to investigate reported breaches of the regulations.
Producing affidavits, witness statements, obtain expert opinions, including analysis of information, etc. and be conscious of deadlines as set by the Deputy Director and Director of Enforcement.
Presenting investigation findings to a Case Review Panel where appropriate.
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