Senior Consultant (Bovill Newgate)

Company Description

Ocorian is a global leader in corporate and fiduciary services, fund administration and capital markets.  Wherever our clients hold financial interests, or however they are structured, we provide compliant, tailored solutions that are individual to their needs.  

We manage over 15,000 structures for 6000+ clients with a global footprint operating from 20+ locations, delivering administration and compliance services for funds, corporate, capital markets and private clients.  

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 role

To provide regulatory compliance and consulting services to Bovill Newgate's US clients, such oversight, execution and continuous improvement of clients’ US compliance program, with specific focus on SEC requirements. Also to assist the US practice lead with sales and marketing  efforts to build the brand and client base. 

Main Responsibilities

Technical Qualities:

You will be working directly with global and domestic fund managers with support and guidance from Bovill Newgate’s experienced team of industry veterans. You will be facilitating our service offering by assisting in the performance of, and being responsible for, among other things:

• providing regulatory expertise and guidance to clients on the requirements of the SEC rules and regulations;
• Developing and maintaining the US compliance programme of Bovill Newgate clients, for example drafting policies, procedures and compliance monitoring programmes
• Developing training materials and assisting in delivering training sessions
• Assisting with regulatory matters including registration applications and regulatory mock examinations
• assisting with anti-money laundering, KYC, and market misconduct inquiries and investigations;
• assisting and completing regulatory reporting for clients;
• developing and undertaking forensic testing and verification of internal controls for clients;
• Carrying out compliance testing and periodic monitoring
• Responding to ad-hoc and routine regulatory queries
• Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required
• At all times adhere to the firm’s Quality Assurance Framework prior to submission to the client
• Arrange and help prepare for client meetings
• Accurately record all client time in the finance system 
• Ensure that all client files are in good order and details of relevant contacts are updated in the CRM system

Client delivery

• Provide high quality advice and support to clients on a range of regulatory compliance matters. This may include:
  • conducting regulatory reviews
  • delivering training sessions and workshops for compliance staff and senior management
  • assisting with registrations
  • drafting policies and procedures
  • responding to ad-hoc and routine regulatory queries
• Manage projects, often with multiple workstreams. This includes project planning, budgeting, scheduling, resource management and project close-down.
• Act as the main point of contact for a portfolio of clients. This may include:
  • responding to all queries, managing client expectations and delegating work, where necessary
  • reviewing the work of colleagues and providing constructive feedback
  • ensuring accurate invoicing, timely payment and assisting the Finance team in resolving any queries
  • dealing with any complaints quickly and effectively
• Act as the main point of contact for global clients and colleagues with regard to SEC regulations.
• Actively partner with global colleagues to support and deliver on shared projects and responsibilities, where required.

Business development

• Build and maintain professional working relationships with clients, trade bodies and the regulator(s)
• Actively seek to increase Bovill Newgate's pipeline by targeting new clients, as well as leveraging existing client relationships to maximise o