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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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 and preferably some knowledge of other jurisdictions
• Prepared and able to hold prescribed positions
• 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), collaborative, riendly and helpful manner

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.
  Equal Opportunities for Everyone

Please let us know if there’s anything we can do to make the process easier for you. You can reach us at [email protected].

We’re an equal opportunity employer. All applicants will be considered for employment without attention to age, ethnicity, religion, sex, sexual orientation, gender identity, family or parental status, national origin, or veteran, neurodiversity or disability status.