Senior Compliance Officer

Ocorian is a global leader in corporate and fiduciary services, fund administration and capital markets. Wherever our clients hold financial interests, or however they are structured, we provide compliant, tailored solutions.

We manage over 17,000 structures for 8000+ clients with a global footprint operating from 18 locations. Our scale offers all our people great opportunities to develop their knowledge and skills and to progress their careers.

Purpose of the Role

A regulatory expert whose prime purpose is to be a subject matter expert for the Compliance function.  Responsible for developing and enhancing the controls in place to ensure the Ocorian Companies’ compliance with all relevant statutory and regulatory requirements.

This includes providing technical expertise and guidance on regulatory and Anti-Financial Crime matters.

Main responsibilities 

Compliance:

• Be the Technical expert on Compliance related matters and able to support the team with statutory compliance deliverables,
• Analyse quickly high-level business problems and deliver clear concise requirements and identified benefits,
• Provide support to the Business for all Compliance related queries and deliverables,
• Build and foster a close working relationship with business colleagues to anticipate and analyse key business requirements,
• Update the tasks included in the Compliance Monitoring Program in a timely manner,
• Maintain the Compliance registers as required by Ocorian,
• Provide support to the Business for all Compliance related queries and deliverables,
• Assist the Head of Compliance to prepare periodical (monthly, quarterly and ad-hoc) reportings to the Board of Directors,
• Draft and review in-house compliance policies/ procedures,
• Maintain the local Business Risk Assessment,
• Follow-up of the reports produced by the Mauritius team.

Regulatory:

• Ensure the company's compliance with relevant laws, regulations, and adherence to the Ocorian policies and procedures,
• Monitor the potential changes to legislation or other regulatory requirements and escalate these to the Head of Compliance
• Proactively identify regulatory compliance risk, gaps and deficiencies, propose mitigating actions,
• Support the establishment and maintenance of appropriate and consistent standards, policies and procedures,
• Provide advice and guidance on regulatory requirements.

AML:

• Review high risk profile,
• Ensure the PEP submission & review/ preparation of PEP Committee,
• Onboarding high risk profile,
• Review and assessment of the risks associated to customers, products to providing timely and compliant recommendations,

Projects:

• Undertake relevant ad hoc project work as required,
• Carry out any relevant activity required by the Head of Compliance from time to time,
• Deliver compliance and regulatory change in line with strategic direction as agreed,
• Support the enhancement of the firm's ability to employ technology and processes to drive new and improved compliance processes and to implement agreed compliance frameworks and technical projects.

• Strong business analysis skills including knowledge of the Compliance & Regulatory environment on an OEC perspective,
• 3-5  years’ work experience in a varied Compliance function, 
• Good corporate business knowledge and analytical reporting skills
• Excellent interpersonal/communication skills,
• Ability to communicate clearly, orally and in writing, to express views in a clear and succinct manner at all levels within the organization,
• Strong report writing and presentation skills to convey the findings of reviews and provision of reports to management,
• Ability to think about solutions to problems and present them in a clear, articulate manner,
• Excellent attention to detail and the requirement to produce documentation to a high standard,
• An enquiring and analytical mind with excellent investigative skills and the ability to identify and question,
• Good time management with the ability to work in an orderly way, as well as the ability to work under pressure and plan ahead to achieve deadlines set, delivering agreed tasks on time,
• Able to take responsibility for workload and priorities,
• Fluency in English and French.

• Competencies:

• Excellent interpersonal skills and the ability to communicate effectively with clients and colleagues at all levels.
• Ability to write with clarity and brevity,
• Ability to work well under pressure and to tight deadlines,
• A solution driven attitude to problems,
• Ability to work using own initiative and take decisions within corporate policies, escalating where necessary,
• Practical, analytical and ordered approach to problem definition and resolution,
• Excellent organisational skills and the ability to work methodically and accurately,
• Desire and ability to pass on key skills and knowledge to others,
• A good team player,
• Flexibility, energy and enthusiasm.

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 think and act globally, seizing every opportunity to support our clients and staff - wherever in the world they may be ;
• We are AGILE - Our independence from any financial institution gives us the flexibility and freedom to keep things simple, efficient and effective ;
• We are COLLABORATIVE - We take the time to understand our clients' needs so that we can deliver personalised solutions every time.