Compliance Manager

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.

Purpose of the Role

To support the Head of Risk & Compliance and deputise for them.  Lead other team members within the team. The successful candidate will play a key role in managing our technology outsourcing and ensuring compliance with all current and future regulatory requirements.

Main Responsibilities

• To be responsible for the day-to-day management members of the team and effective management of workloads
• Provide coaching and mentoring of other team members
• Provide and promote a positive and professional compliance service to all staff within the Company
• Ensure the compliance monitoring programmes are conducted on schedule in accordance with the monitoring plans
• Compile relevant Management Information reporting and analysis
• Drafting and updating compliance policies and procedures
• Ensure knowledge of compliance is up-to-date with recent developments and changes to legislation so as to provide a first class advisory service to Ocorian
• Co-ordinate the completion of annual business risk assessments
• Assume the role of RC for the entity (PSF)
• Oversee and review the content of all Risk & Compliance registers ensuring they remain up to date
• Ensure new and emerging regulation is communicated effectively to the head of compliance, local management and Ocorian’s outsourcing partners
• Manage Ocorian’s technology outsourcing to ensure delivery of agreed SLA’s
• Perform risk and materiality assessments for the use of technology within the business in line with the local regulatory requirements
• Ensure Outsourcing registers and reporting are completed, maintained and submitted in a timely manner

#LI-AM1

#LI-Hybrid

Knowledge, Skills & Experience

• 5+ years professional experience in a similar Compliance or technical role. 
• Qualified to Diploma level
• An established leader / people manager with demonstrable experience
• Excellent organisational, communication and interpersonal skills along with a commitment to working as part of a global team
• Strong negotiation skills
• Ability to delegate appropriately and develop others’ skill set
• Strong technical skills in relation to compliance legislation are essential
• Ability to produce, analyse and communicate management information
• Strong knowledge and hands-on experience with Microsoft products

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.