Compliance Associate, Wealth

2 weeks ago

United Kingdom Ocorian group Full time

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 withOcorian.

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.

Introducing Bovill

In February 2024 Ocorian acquired Bovill to offer comprehensive regulatory and compliance support to financial services organisations internationally [alongside Newgate, Ocorian’s existing regulatory and compliance business].

Bovill is a global financial services regulatory consultancy with offices in London, Singapore, Hong Kong, and the Americas. We work with clients on every element of regulation. We help firms build projects to respond to significant regulatory change or give them peace of mind they’re doing the right thing.

Job Description

Purpose of the Job

Our Wealth practice provides regulatory advice and support to firms involved in the distribution of investments – mainly wealth managers/stockbrokers, financial planners and private banks. The team is growing and is now looking for an experienced compliance associate to join them.

The ideal candidate will play a pivotal role in the practice, contributing to client support, engaging in marketing and business development efforts, conducting technical research, generating technical materials, and actively participating in the overall development and expansion of Bovill.

This position is particularly suited to individuals with a regulatory compliance background seeking a diverse role with a strong emphasis on client delivery.

Main Responsibilities

  • Assisting with advice and support on a variety of regulatory compliance matters including product governance, suitability and appropriateness and preparing for regulatory change.
  • Involvement in project work, compliance health checks and periodic monitoring for clients
  • Drafting and maintaining policies, procedures, and compliance monitoring programmes.
  • Developing training materials and assisting in delivering training sessions.
  • Assisting with regulatory matters including authorisation applications, variations of permissionand changes of control.
  • Carrying out compliance health checks and periodic monitoring (including client file reviews)
  • Arranging and helping prepare for client meetings.
  • Assisting the team with marketing and business development activities which may include preparing proposals and draft engagement letters, writing articles for publication (website & social media) and preparing marketing materials.
  • Responding to ad-hoc and routine regulatory queries.

The role also provides opportunities to attend relevant industry events to expand your professional network and promote the Bovill brand. Additionally, participation in and potential facilitation of Bovill events, roundtable discussions, and training sessions on topical regulatory issues are encouraged.

Qualifications

Knowledge, Skills & Experience

  • Compliance experience gained at a financial institution, legal practice, consultancy and/or the regulatory background.
  • A degree-level education and/or a relevant, diploma level professional qualification (investment or compliance-related), or willing to study towards
  • Significant compliance related experience in the wealth management or financial planning sectors with a focus on the conduct issues faced by our clients in those sectors.
  • Deep understanding of the FCA’s rules and regulations.
  • Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients.
  • A passion for problem-solving and a keen interest in learning how to manage relationships with clients and the wider team.
  • Exceptional communication skills and high attention to detail are essential.
Additional Information

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, buildingtrust through responsible actions and honest relationships.
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