Senior Compliance Consultant
Ocorian delivers administration and compliance services for funds, corporate, capital markets and private clients.
No matter where in the world our clients' hold financial interests, or however they are structured or need to be supported, we will provide a tailored and personalised solution that is individual to their needs and fully compliant to the needs of their stakeholders, regulators and the investment itself.
We manage over 15,000 structures for 6000+ clients with a global footprint operating from 20+ locations. Our scale offers all our people great opportunities to develop their knowledge and skills and to progress their careers.
Purpose of the role
This role sits within the Newgate Compliance arm of the Ocorian business. Newgate Compliance Limited is a regulatory consultancy working with a broad range of investment management clients including hedge funds, fund of funds, long only managers, private equity, venture capital, institutional brokerage and investment advisers. We also support a number of broking and corporate finance firms.
This role will be reporting directly to the Director of Financial Crime and Consulting Services and will be a part of the client advisory team. You should have a keen interest in regulation and compliance. Three to five years relevant experience is desired; however, you will also learn from the wider team, most of whom are experienced ex-regulators. We are a fast moving, growing compliance consultancy firm and the willingness to be flexible as tasks arise will be key for the successful candidate.
Your role will be wide and varied and you will be expected to be willing to undertake the many tasks that arise when part of a flexible consulting team. The role will be challenging but conversely you will have the opportunity get to see the asset management and broking industries from a unique perspective. A key part of your responsibilities will be in supporting the client advisory team assisting with regulatory work and client meetings.
Specifically, this could include, but is not limited to;
- Reporting to the Director of Financial Crime and Consulting Services;
- Mentoring junior colleagues and managing and overseeing their work;
- Managing client relationships and attending their Board meetings to present on compliance;
- Assisting in, and leading, compliance reviews, assessments and documentation drafting;
- Understanding and summarising regulatory change, working on regulatory change projects and writing articles for our newsletter;
- Participating in regulatory projects, such as annual compliance audits, AML audits or mock-examinations;
- Assisting with FCA authorisation applications and other regulatory transactions;
- Taking part in and leading client visits, meetings and training sessions; and
- Keeping up to date with current regulatory developments and informing clients as necessary.
- Friendly, enthusiastic and willing to learn;
- Ability to lead and work on projects alone or with the team;
- Clear and articulate communicator with the ability to adapt to different environments and personalities;
- Capable of working on-site at client offices using their own initiative; and
- Able to communicate with all levels of seniority within the client’s business.
Knowledge, Skills & Experience
- The successful candidate is likely to have a degree and/or
- Be a compliance practitioner with 3-5 years' relevant experience and/or
- Have good a understanding of the wholesale financial services sector.
- Good IT skills with the ability to learn the in-house compliance system.
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 AMBITIOUS – We aim high and are always seeking new ways to delight our people and clients
- We are AGILE – We act on our initiative to get things done
- We are COLLABORATIVE – We achieve more working together
- We are ETHICAL – We behave with integrity at all times