Fund services and solutions are key to our clients' success.
We help clients unlock new value through expertise, trust, and scale. Our corporate, capital markets, private client, and regulatory & compliance teams deliver tailored solutions that solve complex challenges faced by asset managers, financial institutions, corporates, high net-worth individuals, and family offices.
With a curious mindset, we ask the right questions to find innovative solutions. We collaborate with colleagues across the globe to win together, sharing successes and shaping the future of our business. Our supportive culture provides opportunities for growth while unlocking the most value for our clients and making an impact with Ocorian.
Expertise
Our specialist solutions are grounded in deep industry expertise.
Trust
We are a trusted partner to over 8,000 clients worldwide. We are proud of our long-lasting partnerships with clients.
Scale
We operate across 20+ countries with more than 1,500 colleagues. This scale enables us to support clients globally and locally, providing a seamless experience across borders and service lines.
Job Description
Purpose of the Job:
The local Head of Compliance will oversee all areas of statutory and regulatory compliance. Responsible for developing local policies and procedures to improve services and ensure they are followed, monitored, and reviewed to provide the highest standard of quality at all times. Additional tasks may include working alongside Group Risk & Compliance to achieve Group Minimum Compliance Standards.
Main Responsibilities:
* Designated Compliance Officer
* Money Laundering Regulatory Officer / Nominated Officer
* Advisor to the board of directors, executive committee of directors, risk committee, managers, and employees on regulation, risk management, corporate governance, best practices, internal policies, and procedures
* Manage the day-to-day activities of the team and effectively manage workloads
* Understand the exposures to regulatory risk within a financial services organisation
* Provide guidance and ongoing training of the Compliance Team, cross-training, development, and ensuring cover where necessary
* Ensure file reviews and audit checks are completed within service level agreements
* Business acceptance – prepare summary of proposed business transactions to present to relevant sub-committees of the board
* KYC/Customer Due Diligence (CDD) analysis and advice
* Identify, draft, and update local policies and procedures as required based upon Group Minimum Standards
* Implement systems for compliance monitoring
* Oversee maintenance of various standard compliance registers
* Responsible for the relationship with any local regulatory body
* Ensure compliance monitoring programs are fit for purpose and that monitoring activity is conducted on schedule according to the compliance monitoring plan for Ocorian
* Design and deliver training on regulations, internal policies, procedures, corporate governance, compliance, and risk management, basic anti-money laundering provisions
* Attend management meetings and prepare reports on various compliance and regulatory matters
* Attend seminars and conferences to stay updated on applicable regulations
* Promote a positive compliance culture at all levels throughout the business
* Principal contact for the local regulatory body
Qualifications
Knowledge, Skills, and Experience:
* 5 years of experience in a similar role. Diploma-level education
* Excellent organisational, communication, and interpersonal skills along with a commitment to working as part of a global team
* Ability to delegate and develop others' base skill set
* Strategic support to practice areas
* Strong technical skills in relation to compliance and data protection legislation are essential
* Ability to produce management information and deliver projects within given deadlines
Additional Information
All staff are expected to embody our core values that underpin everything we do and reflect the skills and behaviours needed to be successful. These are:
* We are CLIENT CENTRIC – Clients are at the centre of our world, and we are committed to providing expertise and specialist solutions to meet their most complex challenges.
* We are AMBITIOUS – We aim high. We think and act globally, seizing every opportunity to delight our clients and support our colleagues – wherever in the world they may be.
* We are AGILE – We take action to get things done for our clients. Our independence gives us the flexibility and freedom to keep things simple, efficient, and effective.
* We are COLLABORATIVE – With a curious mindset, we ask the right questions to find the right solution, faster. We collaborate to win together and share our successes.
* We are ETHICAL – We behave with integrity at all times and assume positive intent, building trust through responsible actions and honest relationships.
We are an equal opportunities employer. All applicants will be considered for employment without attention to age, ethnicity, religion, sex, sexual orientation, gender identity, family or parental status, national origin, veteran, neurodiversity, or disability status.