Company Description
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.
Job Description
What’s In It For You
* Competitive salary
* Annual Salary Reviews
* Flexible working hours
* Pension
* Private medical insurance
* Dental plan
* Life assurance
* Income protection & Critical illness
Purpose of the Role
* Working collaboratively as part of a robust and effective 1st Line of Defence that identifies, assesses, mitigates, manages, reviews, and monitors the ML/TF/PF and regulatory risks to which Ocorian is subject.
* To assist in providing support and practical guidance to the client administration teams on the onboarding and ongoing client due diligence process (“CDD”) in compliance with the Ocorian Operational Procedures and GFSC AML/CFT Handbook and associated legislation.
Responsibilities
As part of a 1st Line of Defence Team:
Client Acceptance
* To be responsible and accountable for the client onboarding and monitoring process within the confines of an AML/CFT/CPF 1st Line of defence.
* To attend and take an active part in the Client Acceptance and Review Committee’s (CARC) to review and ensure all regulatory KYC requirements for new and existing clients are met.
* To liaise with all key stakeholders: client administration teams, 2nd Line Compliance, and Operations as necessary.
* To own the onboarding process and ensure it is dealt with in an efficient and timely manner.
* Working to tight deadlines and participating in internal and external calls to facilitate the completion of the client onboarding and trigger events.
* Responsible for the review and sign off master client take on (CDD) checklists.
* Completion of sanctions and adverse media screening via proprietary systems (WorldCheck / KYC360).
Ongoing Monitoring
* Financial Crime Reviews (“FCRs”): Analysis of the administration section of the FCRs performed together with effective completion of the AML/CFT/CPF section.
* Tracking completion of the FCRs on a timely basis.
* Tracking the completion of Action Points that derive from client take-on, trigger events, and FCR’s via the Action Point Tracker.
* Co-ordinate paperwork for restructured clients who need to seek CARC approval.
Policies & Procedures
* Volunteer to take on workstreams to review and make amendments to the documented onboarding policies, procedures, and controls.
Training & Education of Staff
* Draft and deliver AML/CFT/CPF training to staff with the support and oversight of the Client Risk Manager when ready.
Personal Development
* Take ownership and responsibility for continuing self-development by working on performance goals and undertaking training as agreed with Client Risks Manager.
Qualifications Required
* An AML/CFT/CPF qualification is beneficial but not a pre-requisite; the ability to interpret and apply in practice the GFSC AML/CFT Handbook and understand ML/TF/PF risk is more important.
Attributes
* Have a proactive and practical solutions-based outlook and focus.
* A team player with excellent personal and written skills.
* The ability to work under pressure, handle multiple priorities, and work as part of a team as well as individually.
Experience
* Relevant KYC experience and a strong understanding of Guernsey’s AML/CFT/CPF regulatory environment.
* Strong organisational skills.
* Prior experience of working in a 1st Line of Defence Onboarding Team or similar AML/CFT/CPF practical compliance role.
* Proven skills in Microsoft Excel with the ability to produce periodic metrics as necessary.
* Exposure to other Microsoft Applications would be beneficial: Microsoft Lists, Visio, SharePoint, Power-BI.
* Experience of Viewpoint would be an advantage but not essential.
Additional Information
All staff are expected to embody our core values that underpin everything that we do:
* We are CLIENT CENTRIC – Clients are at the centre of our world, and we’re committed to providing expertise and specialist solutions.
* We are AMBITIOUS – We aim high, thinking and acting globally.
* We are AGILE – We act on our initiative to get things done for our clients.
* We are COLLABORATIVE – We collaborate to win together and share our successes.
* We are ETHICAL – We behave with integrity at all times.
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 careers@ocorian.com.
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.
For further information, and to apply, please visit our website via the “Apply” button below.
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