Purpose of role: To lead and deliver regulatory project and ongoing support engagements
Main responsibilities
Business Development
- Manage a client portfolio, providing regulatory advice and identifying opportunities for cross‑selling and up‑selling.
- Build strong relationships with clients, industry bodies and regulators.
- Prepare and present well‑structured proposals to prospective clients.
- Represent the firm at industry events and promote the brand.
- Contribute to internal briefings, training sessions and roundtables.
- Pursue new business opportunities and maintain accurate CRM records.
Technical Expertise
- Stay up to date with emerging regulatory developments and market practices.
- Monitor and maintain clients’ compliance programmes.
- Manage regulatory registrations and prepare policies and procedures.
- Analyse regulatory changes and assess their impact on clients.
- Conduct compliance testing and annual programme reviews.
- Support clients during regulatory examinations.
- Contribute to compliance strategy development for asset managers.
Client Delivery
- Provide high‑quality advice across a wide range of regulatory compliance matters.
- Conduct reviews, deliver training, support authorisations and draft policies.
- Manage multi‑stream projects, including planning, budgeting and resourcing.
- Act as the main point of contact for clients, managing queries and expectations.
- Review colleagues’ work, provide feedback and ensure accurate invoicing.
- Resolve client issues promptly and effectively.
- Collaborate with global colleagues on shared projects.
Regulatory Knowledge
- Serve as a resource on compliance matters affecting asset managers and alternative investment vehicles.
- Maintain strong working knowledge of relevant regulations and guidance.
- Track regulatory developments and advise clients on implications.
- Keep colleagues and clients informed of regulatory changes and industry trends.
- Develop a deep understanding of clients’ businesses to deliver accurate, relevant advice.
- Support the development of internal technical expertise.
Qualifications & Experience
- Degree‑level education preferred, plus a relevant diploma (investment or compliance) or willingness to study.
- Strong compliance experience within financial services, consultancy, legal practice or a regulator.
- Solid understanding of SFC processes and asset‑management regulatory requirements.
- Proven ability to analyse regulations, manage compliance risks and develop practical policies and procedures.
- Experience translating regulatory rules into clear, pragmatic solutions for clients.
- Track record of meeting financial targets; consulting experience advantageous.
- Strong organisational, analytical and problem‑solving skills with excellent attention to detail.
- Confident communicator with the ability to build and maintain senior‑level client relationships.
- Able to work independently, manage multiple projects and meet tight deadlines.
- High level of professionalism, client service focus and commercial awareness.
- Entrepreneurial mindset with a proactive approach to learning, development and taking initiative.
- Strong Microsoft Office skills; CRM experience beneficial.
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.
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.