Ocorian delivers administration and compliance services for funds, corporate, capital markets and private clients.
No matter where in the world our clients' hold financial interests, or however they are structured or need to be supported, we will provide a tailored and personalised solution that is individual to their needs and fully compliant to the needs of their stakeholders, regulators and the investment itself.
We manage over 15,000 structures for 6000+ clients with a global footprint operating from 20+ locations. Our scale offers all our people great opportunities to develop their knowledge and skills and to progress their careers.
Purpose of the Role
Are you a Compliance professional that is ready for the next step in their career ? Who is eager to contribute to the further growth of Ocorian in the Netherlands and is willing to guide their colleagues in the ever increasing regulatory landscape? Who will have the exposure to advise the Board of Directors in a meaningful and positive way, safeguarding the regulated position of Ocorian in the Netherlands? Then we would definitely like to have a conversation with you.
The ideal candidate would be a regulatory subject matter expert for the Compliance function. Responsible for developing and enhancing the controls in place to ensure the Ocorian Companies’ complies with all relevant statutory and regulatory requirements. This includes providing technical expertise and guidance on regulatory and Anti-Financial Crime matters. The successful person will be fully responsible to run the Compliance and Risk Management framework in the Netherlands.
Compliance:
- Be the Technical expert on Compliance related matters and able to support the team with statutory compliance deliverables;
- Analyse quickly high-level business problems and deliver clear concise requirements and identified benefits;
- Build and foster a close working relationship with business colleagues to anticipate and analyse key business requirements;
- Update the tasks included in the Compliance Monitoring Program in a timely manner;
- Maintain the Compliance registers as required by Ocorian;
- Provide support to the Business for all Compliance related queries and deliverables;
- Review and assessment of the risks associated to customers, products to providing timely and compliant recommendations;
- Prepare periodical (monthly, quarterly and annually) reportings to the Board of Directors and Head of Compliance, and relevant regulatory authorities;
- Draft and review in-house compliance policies/ procedures;
- Maintain the local Business Risk Assessment;
- Provide support to the Business for all Compliance related queries and deliverables;
- Initiate and hold monthly compliance meetings with the Board of Directors.
Regulatory:
- Ensure the company's compliance with relevant laws, regulations and adherence to the Ocorian policies and procedures;
- Monitor the potential changes to legislation or other regulatory requirements and escalate these to the Board of Directors and the Head of Compliance;
- Proactively identify regulatory compliance risk, gaps and deficiencies, propose mitigating actions;
- Support the establishment and maintenance of appropriate and consistent standards, policies and procedures;
- Prepare the annual questionnaire from the regulator regarding Ocorian and their serviced object companies;
- Provide advice and guidance on regulatory requirements.
Projects:
- Undertake relevant ad hoc project work as required;
- Carry out any relevant activity required by the Board of Directors from time to time;
- Deliver compliance and regulatory change in line with strategic direction as agreed;
- Support the enhancement of the firm's ability to employ technology and processes to drive new and improved compliance processes and to implement agreed compliance frameworks and technical projects.
Essential Criteria
- Solid knowledge of the Dutch Act on the Supervision of Trust Offices (WTT2018)
- 3-5 years of relevant experience in a varied (Dutch) Compliance function
- Strong business analysis skills including knowledge of the (Dutch) Compliance & Regulatory environment
- Candidate should have strong communication skills, as the candidate will act as, 1) advisor to the Dutch board, 2) involved in Group Compliance and Risk projects, and 3) act as key point of contact towards our regulator (the Dutch Central Bank), external advisors and Compliance and Risk peers within Ocorian Group
- Fluent in English, Dutch is considered an asset
- Worked in the Netherlands
- Solid knowledge of, or at least familiar with Dutch Civil Law / Dutch Corporate Law
- Bachelor's degree / Academic degree;
- Corporate and structure knowledge;
Competencies
- Excellent interpersonal skills and the ability to communicate effectively with clients and colleagues at all level;
- Strong IT skills.
- Strong report writing and presentation skills to convey the findings of reviews and provision of reports to senior management;
- Ability to think about solutions to problems and present them in a clear, articulate manner;
- Excellent attention to detail and the requirement to produce documentation to a high standard;
- An enquiring and analytical mind with excellent investigative skills and the ability to identify and question;
- Good time management with the ability to work in an orderly way, as well as the ability to work under pressure and plan ahead to achieve deadlines set, delivering agreed tasks on time;
- Able to take responsibility for workload and priorities;
- Desire and ability to pass on key skills and knowledge to others;
- Flexibility, energy and enthusiasm;
- Good team player.
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 AMBITIOUS – We aim high and are always seeking new ways to delight our people and clients.
- We are AGILE – We act on our initiative to get things done.
- We are COLLABORATIVE – We achieve more working together.
- We are ETHICAL – We behave with integrity at all times.
