Head of Risk & Compliance recruitment

Specialising in providing services to private clients, this organisation has built a market-leading position in providing integrated solutions within wealth management as well as developing an fantastic reputation for multi-asset class investment management.

The position of Head of Risk Compliance sits at the heart of the firm, and the flat structure of the organisation allows this role to have a real impact on the business, an oversight leading the function with real exposure on the regulatory front.

Responsibilities include:

Compliance
 
• Formulate the compliance strategy based on the FSA’s rules and guidance, manage the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures.
• Oversee the Compliance Monitoring Programme.
• Maintain and ensure monitoring of effective and risk-based Anti Money Laundering processes and procedures and act as Money Laundering Reporting Officer.

Risk
 
• Promote and drive  a proportionate and effective Risk Management Framework
• Establish likely impact of new regulatory or infrastructure developments on the company’s risk profile
• Report to the Board and internal Risk Committee on risk.
• Develop scenarios to assist with strategy, planning, risk awareness, Internal Capital Adequacy Assessment Process etc.
• Monitor outside developments in the wider financial services sector.
• Oversee exception, breach and near-miss monitoring and reporting
• Undertake risk due diligence on third parties and respond to incoming due diligence requests if required
Arrange adequate professional indemnity insurance on an annual basis.

This position sits as a perfect opportunity for those looking for the exposure as the primary Risk Compliance oversight with a fiercely growing organisation. Based in central London, the role flirts with a highly attractive salary package, along with a look to really become part of the business.

A chance for a real strategist to have a direct impact and to make a real difference within the function, this role stands as a great post for those subject matter experts to display and execute their experience within this senior position.
 

Please get in with contact Barnaby Francis on 0203 465 0110 to discuss.