Head of Risk and Compliance

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.

PURPOSE OF THE JOB

The local Head of Risk & Compliance will cover all areas of statutory and regulatory compliance.  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 Compliance Standards are achieved.

MAIN RESPONSIBILITIES

Act as Designated Compliance Officer and Money Laundering Reporting Officer (MLRO/Nominated Officer).

• Serve as a trusted advisor to the Board, Executive Committee, and Risk Committee on regulatory, risk, governance, and best practice matters.
• Lead and manage the day-to-day operations of the Compliance team, ensuring effective workload prioritisation, capability development, and team coverage.
• Maintain a strong understanding of regulatory risk exposure within a financial services environment and provide proactive guidance to the business.
• Oversee Compliance Monitoring Programme, ensuring it is fit for purpose and delivered in line with the agreed plan and service level agreements.
• Ensure completion of file reviews, audit checks, and compliance assessments within required timelines.
• Maintain and oversee compliance registers, monitoring systems, and reporting frameworks.
• Provide expert oversight of KYC/CDD processes, including business acceptance and preparation of transaction summaries for Board sub-committees.
• Develop, implement, and maintain local policies and procedures in line with Group Minimum Standards.
• Act as the primary contact and relationship owner with local regulators, ensuring effective engagement and regulatory compliance.

• Prepare and present reports to senior management on compliance, regulatory, and risk matters.

• Design and deliver training programmes across compliance, AML, governance, and internal policies to promote a strong compliance culture.

• Drive and embed a positive compliance culture across all levels of the organisation.

• Maintain up-to-date knowledge of regulatory developments through ongoing professional development, seminars, and industry engagement.

KNOWLEDGE, SKILLS AND EXPERIENCE

• Proven experience as Risk & Compliance subject matter expert in a leadership or senior manager level role
• Educated to Diploma level
• Proven stakeholder management including organisational, communication and interpersonal skills
• Successfully provides strategic support to practice areas
• Strong technical skills in relation to compliance and data protection legislation
• Ability to produce management information and to deliver projects within set timeframes

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.