Job Description Purpose of the Job The successful candidate will provide generalist support and will be responsible for a variety of Compliance, Risk and AML related tasks including 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 business in UK & Ireland, through your core knowledge of capital markets related products and services and the compliance and risk themes associated with them Main Responsibilities A dedicated Compliance and AML Manager (DMLRO) to provide support to the UK & Ireland Compliance function, undertaking the following tasks: Advisory & Policy Support Ocorian's UK & Ireland Compliance function, provide technical regulatory advice where required as best practise. Assist with the maintenance of the firm’s Compliance policy and procedures, including those related to AML & Financial Crime. 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 support with the 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 the implementation work. Monitoring Manage the 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 appropriate regulatory bodies 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 function to ensure a co-ordinated approach is taken across the second line of defence. Provide support in implementing Ocorian’s Enterprise Risk Management Framework. Ad-hoc & Projects 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. Manage and/or assist with ad-hoc Compliance related projects locally and at Group level. Any other relevant 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. LI-AM1 LI-Hybrid