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
• Arranging and helping prepare for client meetings
• Accurately recording all client time in the finance system
• Ensuring 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 opportunities for up-selling and cross-selling
• Prepare well-presented, accurately priced proposals and present these to prospective clients
• Represent the firm at industry events, promoting the Bovill Newgate brand
• Participate in internal events and training sessions such as client briefings and roundtable events
• Assist the team with marketing and business development activities.
• Record all touch-points, leads, opportunities and proposals in the Salesforce system.

Regulatory knowledge

• Demonstrated experience with compliance and regulatory matters affecting the operations and governance
• Working knowledge of alternative investments, their function, and related regulations;
• Keep abreast of regulatory developments and understand how client activities may be impacted
• Proactively update both colleagues and clients on relevant regulatory changes and industry news
• Develop a thorough understanding of clients’ businesses and requirements so you can provide relevant and accurate advice
• Help develop Bovill Newgate's technical capacity within the relevant sectors

#LI-SM1

#LI-Hybrid

Qualifications

Knowledge, Skills & Experience

• Bachelor’s Degree or equivalent work experience
• 5 plus years industry-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
• Knowledge and experience of investment adviser operations and regulations. Experience with SEC examinations a plus.
• Proven track record of exceeding financial goals and sales targets; consulting experience essential
• Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients
• Experience managing client relationships
• Excellent Microsoft Office skills and experience using a CRM system would be an advantage
• Dedicated to upholding first-class standards and exceptional customer service focus;
• Strong analytical skills with the ability to exercise discretion and make independent judgments on all matters for clients;
• Proven ability to be proactive when dealing with clients giving full consideration to their requirements;
• Excellent communication skills with the proven ability and drive to build, manage and maintain client relationships;
• Must be able to demonstrate strong organizational and problem-solving skills with attention to detail.

Competencies

• Entrepreneurial mind-set
• Highly motivated and goal oriented; proactive in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.
• Highly motivated individual who thrives in a fast-paced, high-pressure environment
• Exceptional written and oral communication skills
• Ability to confidently interact with Board and Executive level clients
• Ability to work independently, prioritise multiple projects and engagements whilst meeting tight deadlines

Commercial acumen, with the ability to spot new opportunities and develop them

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.

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.