Consultant - Regulatory & Compliance

Purpose of the job

As a Consultant/ Analyst, your primary responsibility is client delivery.   You will be responsible for preparing client deliverables, ensuring we deliver on our promises with services they need and value. Assist and support team members and direct reporting line in the day-to-day tasks. Assist and support in compliance audit, financial crime compliance, data protection, and any other regulatory and compliance operations.

Main responsibilities

• Preparing deliverables for client engagements.
• Acting as a day-to-day contact for clients.
• Building and maintaining relationships with key internal and external stakeholders.
• Providing advice and support to clients on risk and regulation issues.
• Contributing to internal knowledge base through research and content.
• Understanding and summarising regulatory change and writing articles for newsletter.
• Keeping up to date with current regulatory developments and informing clients as necessary
• Supporting sales and marketing activity.
• Assisting in independent compliance audits.
• Accepting ownership of new auditing initiatives.
• Meeting and understanding clients' audit needs, liaison with clients via emails, phone calls and onsite visits.
• Assist in development and implementation of compliance audit plans.
• Attending and participating in audit meetings for feedback on audit progress and improvement recommendations.
• Analysing clients' operational practices, periodic reports, databases, records and other documentation to ensure compliance with company policies, procedures and controls and legislations and regulations.
• Documenting findings of audits in work papers and memos and distributing to reporting line upon completion for review and reports drafting.
• Prepare independent AML/CFT audit reports and other documentation to support auditor's opinions, observations and recommendations.
• Contributing to relevant forms and checklist designed by Ocorian and make appropriate recommendations as necessary for improvements, including quality of audits, to enhance process effectiveness.
• Provide various compliance services to clients from different sectors, including compliance advice, customer due diligence, file reviews, trainings and support the clients in the fulfilment of their AML/CFT obligations. 
• Support data protection initiatives.
• Support financial crime initiatives.
• Perform financial crime compliance duties.
• Assisting in compliance reviews, assessments and documentation drafting.
• Any other duties assigned by direct reporting line.

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