Compliance Consultant, Wealth

1 month ago

London, UK, United Kingdom Ocorian Full time
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.

Introducing Bovill Newgate

Bovill Newgate is a specialist financial services regulatory consultancy with a global offering across the UK, the Channel Islands, Singapore, Hong Kong, Mauritius and the Americas. We help our clients meet complex and evolving regulatory obligations, providing certainty and peace of mind. We work with firms of every size across the financial services sector, supporting clients managing regulatory change and dealing with regulatory scrutiny. We provide advice on regulatory change and preventing financial crime, applications to regulators, building or enhancing regulatory frameworks, conducting compliance investigations or diagnostics, training and fulfilling prescribed roles.

Job Description

Purpose of the Job

Our Wealth & Consumer Finance Practice is looking for a highly motivated, proactive compliance consultant to join the team. The successful candidate will support and assist Bovill's wealth and investment management clients by providing regulatory advisory services, guidance, and delivery of ongoing support engagements.

Main Responsibilities

Working directly with clients across the sector collaborating with Bovill's experienced team of industry specialists, the successful applicant will be responsible for:
  • Providing high quality advice and support to clients on a range of regulatory compliance matters.
  • Managing regulatory change projects.
  • Drafting and maintaining policies, procedures, and compliance monitoring programmes.
  • Delivering training sessions and workshops for compliance staff and senior management.
  • Completing compliance health checks and periodic monitoring.
  • Assisting with regulatory matters including authorisation applications and variations of permission.
  • Responding to all queries, managing client expectations and delegating work, where necessary.
  • Reviewing the work of colleagues and providing constructive feedback.
  • Actively partnering with global sector teams to support and deliver on shared projects and responsibilities, where required.
  • Preparing well-presented, accurately priced proposals for presentation to prospective clients.
  • Writing comprehensive reports and documentation.
  • Assisting the team with marketing and business development activities.
  • Responding to ad-hoc and routine regulatory queries.

The role also provides opportunities to represent the company at industry events, promoting the Bovill brand. Additionally, participation in both internal and external events and training sessions, client briefings, roundtable discussions, and training sessions on topical regulatory issues are encouraged.

Qualifications Required

Knowledge, Skills & Experience
  • A degree level education, or relevant experience.
  • Relevant, diploma level professional qualification (investment or compliance-related), or willing to study towards.
  • Significant compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator.
  • Strong technical knowledge of wealth/investment management or financial planning sectors and the conduct issues faced by our clients in those sectors.
  • Deep understanding of the FCA's policies and procedures.
  • Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients.
  • Experience managing client relationships.
  • A broad understanding and an appetite to keep learning.

This role has responsibility for building the pipeline by leveraging existing relationships to maximise opportunities for up/cross-selling. Therefore, prior consulting experience is preferred.

Given the technical nature of the role, exceptional communication skills and high attention to detail are essential. Successful candidates should also be open to assisting other teams and clients on a broader range of regulatory matters when necessary. A willingness to develop your knowledge across the spectrum and to collaborate on work outside of your main area of expertise is encouraged.

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, building trust through responsible actions and honest relationships.

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