Job Description
Company Description
Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance
We help clients succeed by unlocking new value through expertise, trust and scale. We deliver 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 get to the right solution, faster. We collaborate to win together, sharing successes and shaping the future of our global business. Our culture of support and recognition provides the tools and opportunities for you to grow, while unlocking the most value for our clients and making your mark with Ocorian.
Expertise: We deliver specialist, tech-enabled solutions for our clients grounded on deep industry expertise.
Trust: We’re a trusted partner to over 8,000 clients globally. We are proud to have long-lasting partnerships with our clients.
Scale: With more than 1,500 colleagues, we operate across 20+ countries, our scale enables us to support our clients globally and locally, providing a seamless client experience across borders and service lines.
Job Description
Purpose of the Job
The local Head of Risk & Compliance will cover all areas of statutory and regulatory compliance and risk management. Responsible for the development of local policies and procedures to improve services and to ensure they are followed, monitored and reviewed with the objective of providing services of the highest standard and quality at all time and any other such activities as may be reasonably required by the role. To work alongside Group Risk & Compliance to ensure Group Minimum Risk and Compliance Standards are achieved.
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 issues of regulation, risk management, corporate governance, areas of best practice and internal policies and procedures
- To be responsible for the day to day management of the team and effective management of workloads
- Have an excellent understanding of the exposures to regulatory and enterprise risk within a financial services organisation
- Provide guidance and on-going training of the Risk & Compliance Team, cross training and 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 the 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
- Ensure systems are in place for risk and compliance monitoring
- Oversee the maintenance of a variety of standard risk and compliance registers
- Responsible for the relationship with any local regulatory body
- Ensure the risk and compliance monitoring programs are fit for purpose and that monitoring activity is conducted on schedule in accordance with the compliance monitoring plan for Ocorian
- Design and deliver training on various aspects of regulations, internal policies and 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 ensure knowledge of applicable regulations is up to date
- Promote a positive risk and compliance culture at all levels throughout the business
- Principal contact for the local regulatory body
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Qualifications
Knowledge, Skills & Experience
- 5-10 years’ experience in a similar role. Educated to Diploma level
- An established leader / people manager
- Excellent organisational, communication and interpersonal skills along with a commitment to working as part of a global team
- Strong negotiation skills
- Ability to delegate and develop others’ base skill set
- Successfully provides strategic support to practice areas
- Strong technical skills in relation to risk and compliance legislation are essential
- Ability to produce management information and to deliver projects within given deadlines
Additional Information
All staff are expected to embody our core values that underpin everything that we do and that reflect the skills and behaviours we all need to be successful. These are:
- We are CLIENT CENTRIC – Clients are at the centre of our world, and we’re 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 act on our initiative 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 get to the right solution, for our clients 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.
Equal Opportunities for Everyone
Please let us know if there’s anything we can do to make the process easier for you. You can reach us at [email protected].
We’re an equal opportunity 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, or veteran, neurodiversity or disability status.
