Business Compliance & Operations Officer

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. Purpose of the Job Reporting to the Regional Head of the Americas this role provides support across operations, corporate administration, compliance monitoring and governance functions, ensuring efficient delivery of services, accurate maintenance of client records, and adherence to regulatory requirements. The role operates as a key first line of defence for the business ensuring adherence to documented policies, regulatory standards procedures, and compliance requirements. This is a hands-on role suited to an individual with a compliance, risk, or regulated-environment background who demonstrates strong attention to detail and a commitment to quality outcomes. Main Responsibilities Execute CDD and KYC processes for new client onboardings, periodic reviews, and trigger events Completion and oversight of onboarding workflows, proactively addressing issues Perform customer due diligence, including identification, verification of clients and related parties Complete periodic and event-driven reviews in line with regulatory and internal policy requirement. Ensure all activities are completed in accordance with AML/KYC policies, procedures, and regulatory expectations Maintain accurate and complete client records and documentation Identify and flag potential risks, inconsistencies, or control gaps Prioritise tasks based on risk, deadlines, and business needs Maintain clear and timely updates within workflow systems Liaise with front office, Compliance, and Operations teams across the Group Respond to queries from local office and our capability centre, driving compliance standards Generate reports when required for local and Group management Assist with coordination and tracking of Regulatory filings, reconciling filings for reporting populations Assist with registry (VIRRGIN filings) Become a local expert in our core systems Apply a high level of attention to detail to ensure records are complete, compliant, and audit-ready Support quality assurance, reviews, and remediation activities as required. Develop a working understanding of core Operations workflows and associated risk controls Assist management with general operational and administrative tasks as required #LI-JM1 #LI-Hybrid Knowledge, Skills and Experience At least 5 years experience in risk, compliance, administration, or regulated environments. Strong attention to detail and ability to follow structured procedures. Good organisational and time management skills. Strong written and verbal communication skills. Proficiency in Microsoft Office applications; workflow systems experience is an asset. Previous NavOne or Viewpoint knowledge is beneficial but not essential 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 [email protected] . 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.