Assistant Compliance Officer
QHSE Taskforce

About the job

Reporting to the London Head of Compliance, the successful candidate will provide generalist support and assistance and will be responsible for a variety of Compliance and AML tasks such as advisory, monitoring, risk management and promoting a compliance culture across the business. In addition, you will play a crucial role in supporting the growth of Ocorian's capital markets business, primarily in the UK, through corporate trust and agency but also globally through your core knowledge of these products and the compliance and risks themes associated with them. Main Responsibilities To provide guidance and assistance to Ocorian staff in the UK by applying the Ocorian Risk and Compliance Framework. Advisory & Policy * Assist with the execution and maintenance of the firm’s Compliance procedure manual and policy, including those related to AML & Financial Crime. * Advise staff on the firm's Compliance policies and best practice. Provide on-site support to the London team for all compliance related queries and deliverables. Enhancing and supporting business relationships, through active engagement of business needs and identification of areas of regulatory risk in order to inform compliance planning, assurance, advisory or policy/guidance activities. * Undertake horizon scanning and provide support in implementation of in-scope emerging regulation and regulatory change, whether internally or externally driven including the preparation of gap and impact analysis, reporting and liaison with other Compliance or Ocorian business representatives/service lines as part of implementation work. Monitoring * Assist in the development and execution of the risk-based Compliance Monitoring Plan, including the reporting and resolution of findings and actioning of recommendations with the business/stakeholders. * Maintain Compliance registers (e.g. breaches, PEP’s, Conflict of Interest and Gifts & Hospitality). * Review the adequacy of CDD accompanying new business documentation and maintenance of appropriate Compliance records. * Undertake AML post-onboarding client file reviews, sanctions checking, transaction monitoring and PEP’s monitoring. * Oversee regulatory reporting and filings to the FCA and other external authorities. * Support the design and delivery of regulatory training, conduct new joiner and other ad hoc training for staff on the firm's Compliance and AML policies and procedures in line with stipulated regulation. Risk Management * Collaborate with Ocorian’s Risk Management to ensure a co-ordinated approach is taken across the second-line of defence. Provide support in implementing Ocorian’s Enterprise Risk Management Framework. * Maintain the firm’s Risk Register and ensure agreed actions are followed to completion. Ad-hoc & Projects * Deputise for the Head of Compliance where necessary. * Support Ocorian's Compliance functions globally, provide technical regulatory advice where required. * Assist with the preparation of Compliance reports (Management Information) to provide key information to both the Board, Group Risk and Compliance and other regional committees on a regular basis. * Represent Compliance in regular business dialogues, Committees and Boards, where required. * Undertake and/or assist with ad-hoc Compliance related projects. * Any other compliance duties that may be required from time to time. * Attend relevant seminars, training and educational programmes. * Promote a positive governance and compliance culture at all levels throughout the business



London,United Kingdom

Job Type



£0 - £0



Educational Level


Career Level



Company Name


London,United Kingdom

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