At a Glance
- Tasks: Lead risk and compliance strategies, ensuring a positive culture across the organisation.
- Company: Join a dynamic financial services firm with a focus on compliance and risk management.
- Benefits: Competitive salary, leadership role, and opportunities for professional growth.
- Other info: Collaborative environment with strong emphasis on stakeholder engagement and development.
- Why this job: Shape the future of compliance in a key executive position with real impact.
- Qualifications: Proven experience in risk management and compliance within UK financial regulations.
The predicted salary is between 72000 - 88000 £ per year.
As the Director of Risk, Compliance and MLRO you will be a member of the Executive Management Team. Providing independent strategic and operational oversight of building and shaping the compliance function. Delivering the right strategies, tools and controls to promote a positive risk and compliance culture and associated behaviours across the organisation.
Some Key Responsibilities
- Lead the delivery of the Compliance Assurance programme across the business.
- Development, implementation and maintenance of appropriate compliance, risk and financial crime frameworks.
- Deliver robust oversight on non-financial risks, including operational, change, conduct and reputational risk in collaboration with the Chief Executive.
- Horizon scanning, ensuring compliance with relevant UK regulations and legislation, including financial crime and Anti-Money Laundering.
- Drive forward looking insight into major risks, anticipating major exposures and providing analysis to stakeholders.
- Design, enhance and build out effective 2nd Line of Defence oversight.
- Compliance monitoring via testing of first line quality assurance activities and Thematic Reviews.
- Supporting the wider People strategy with SMCR (Senior Manager Certification Regime) and maintaining a culture which embraces awareness and prevention of conduct risk.
- Carry out the responsibility of MLRO with full access to resources and information to enable a stance of authority and independence.
- Compilation of the MLRO annual report and subsequent recommendations to the BRAC (Board Risk & Audit Committee).
- MLRO reporting to regulatory bodies and board/committees.
Experience
- Proven experience in Risk management and Compliance in UK Financial regulated mortgages business.
- Strong MCOBS experience.
- Thorough understanding of SMCR (Senior Manager Certification Regime).
- Commercially minded.
- Previously held an SMF16 or SMF17 role, both would be desirable.
- Excellent relationship and stakeholder management skills with an ability to challenge at all levels.
Director of Risk, Compliance & MLRO (SMF16&17) in London employer: Broadgate Search
As a leading financial technology and information services business, we pride ourselves on fostering a dynamic work culture that encourages innovation and collaboration. Our employees benefit from comprehensive professional development opportunities, competitive compensation packages, and the chance to work with top-tier clients in the financial services sector. Located in a vibrant area, we offer a stimulating environment where your contributions directly impact our growth and success.
