Senior Consultant | Regulatory and Compliance

Purpose of the Job

The mission of this role is to provide advice and assistance to regulated firms in the Channel Islands, to help them deliver their own commercial aims and comply with their regulatory requirements and internal policies. The role will differ for each client firm 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 Ocorian Consulting client base and the Ocorian Consulting 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 Ocorian Consulting is the Corporate Compliance Officer and hold prescribed positions as required (MLCO, MLRO, CO 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 Ocorian Consulting 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 Ocorian Consulting team
• Maintain an effective relationship with regulatory authorities
• Assist with the development of the profile of Ocorian Consulting through marketing and sales
• Assist with any other duties as required as part of a small team

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