SENIOR COMPLIANCE CONSULTANT

Job Description

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 Job

The position of Senior Compliance Consultant is to offer assistance to clients, including prescribed positions where required, to ensure they comply with their regulatory requirements and internal policies. The role will differ for each client based on their industry type and specific requirements. Ultimately, the role will be to analyse all compliance, AML/CFT, risk and governance requirements and design appropriate solutions whilst providing a proactive and efficient service and continuing to build the New Gate client base and the New Gate brand.

Main Responsibilities

• Provide guidance to clients as required in relation to Compliance, AML/CFT, risk and governance
• Assist with ongoing monitoring of compliance in accordance with the client’s Compliance Monitoring Programme
• Act as the dedicated consultant for clients where New Gate is the Corporate Compliance Officer and hold prescribed positions as required (MLCO, MLRO and NO)
• Prepare and provide compliance reports and present at Board meetings
• Undertake Anti-Money Laundering/Countering the Financing of Terrorism (“AML/CFT”) file reviews to ensure compliance with the client’s policies and procedures and any relevant regulations
• Ensure consistent and timely feedback when undertaking file reviews for clients
• Ensure detailed and prompt investigation of all client’s AML/CFT incidents and cases
• Provide assistance to clients in preparing for impending regulatory changes or revisions to regulations
• Improve and maintain clients’ policies and procedures
• Aid in the improvement of tools to monitor and analyse due diligence and to report suspicious activity
• Identify and inform clients of any changes to legislation and other regulatory requirements relating to AML/CFT
• Handle the management and execution of second line monitoring and assessment program for AML/CFT
• Assist in general compliance awareness and refresher training
• Build and maintain strong on-going relationships with clients
• Train others within the New Gate team, and at clients when required, and encourage a compliance culture across the industry
• Keep up to date with relevant laws, rules and regulations
• Provide support to other members of the New Gate team
• Maintain an effective relationship with regulatory authorities
• Assist with the development of the profile of New Gate Compliance
• Assist with any other duties as required as part of a small team

QUALIFICATIONS REQUIRED

Knowledge, Skills & Experience

• A detailed understanding of undertaking AML/CFT and regulatory compliance activities within the financial services sector
• Excellent knowledge of Guernsey rules and regulations
• The ability to demonstrate initiative
• Self-motivation and excellent organisational skills
• Good working knowledge of Microsoft Office, including Outlook, Word, Excel, PowerPoint and SharePoint
• Strong communication skills (written and verbal) Friendly and helpful manner

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 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