Company Description

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.

Job Description

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.

Main Responsibilities 

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;

• Managing client relationships;
• Strong experience in the 3 lines of defence, in particular internal or external audits such as in AML controls;
• Assisting in, and leading, compliance reviews, assessments and documentation drafting;
• Understanding and summarising regulatory change and writing articles for our newsletter;
• Participating in regulatory projects, such as annual compliance 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.

Competencies 

• 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.

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Qualifications

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.
• Strong knowledge and application of the FCA Handbook including AIFMD, SMCR, MIFID II, IFPRU, and the financial promotions regime under COBS 4 and Consumer Duty;
• Good IT skills with the ability to learn the in-house compliance system.

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 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.