Senior Risk & Compliance Analyst (MAU Compliance Team)

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 1,800 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. 

What’s In It For You 

• Competitive salary 
• We are globally hybrid (please check the specifics for this role during interview process)
• Flexible working hours 
• Private Pension Plan 
• Private medical insurance 
• Employee recognition program and spot bonuses

Purpose of the role 

A regulatory expert whose prime purpose is to be a subject matter expert for the Risk & 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 

• Enhance and build the Compliance Management Framework to global specifications
• Support the establishment and maintenance of appropriate and consistent standards, policies and procedures
• Carry out tests on the business’ level of compliance with procedures and the effectiveness of the procedures as part of the Compliance Monitoring Programme and report findings to the Senior Risk & Compliance Manager
• Undertake Transaction Monitoring and preparing reports to senior management
• Conduct comprehensive review and risk assessment for new business applications including ad hoc applications, arrange to table to the Client Committee and circulate minutes of meeting
• Provide guidance and support to the business in relation to adverse reports through ad-hoc screenings • Manage regulatory updates, conduct regulatory change impact assessment for regulatory changes promptly and agree action plan with Head of Compliance
• Assist with regulatory correspondences/surveys and ensure that the Regulatory Correspondence Register is updated at all times
• Review Politically Exposed Person (PEP) applications, arrange for approval by senior management and update the PEP Register
• Develop and produce compliance reporting/MI
• Technical expert on compliance related matters and able to support the team with statutory compliance deliverables
• Define, support and deliver compliance project related tasks
• To 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
• To work with the Senior Risk & Compliance Manager to update policies and procedures where appropriate
• To analyse quickly high level business problems and deliver clear concise requirements and identified benefits
• Draft procedures/flowcharts and forms for use across the teams 
• Build and foster a close working relationship with business colleagues to anticipate and analyse key business requirements
• Ensure that sufficiently detailed specifications are created and used to drive business change including devising new practices
• Ensure that documents on our internal Portal (Davi) is up to date at all times • Assist with coaching more junior members of the Compliance team
• Assist with staff training

Knowledge/skills/experience

• Strong business analysis skills including knowledge of the Compliance & Regulatory environment
• Ideally a minimum of 5-10  years’ work experience in a varied Compliance function.  Holding Diploma level compliance qualifications and being technical expert on Compliance in one or more disciplines.
• Good 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 organisation
• Strong report writing and presentation skills to convey the findings of reviews and provision of reports to senior 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
• A competent user of Microsoft packages including Outlook, Word and Excel

Our Values

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.

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.