Risk and Compliance Director

Risk & Compliance Director

A fantastic Opportunity has arisen within a international group to lead the build out of the groups corporate Risk and compliance program for their UK entities, within the group they do have a number of regulated businesses where there are small compliance and risk teams in place, however this role will be key to building out a group compliance and risk program to bring the different businesses in line with group standards. This will be a key strategic role which will require someone to be very hands on but also mange Key stakeholders at group management and also within the various UK businesses. London based circa £130,000 plus Benefits and Bonus

Core Responsibilities

• Advises the Group’s leadership team on risk management, compliance and governance frameworks to ensure compliance with relevant laws, regulations and best practice as well as the company’s policies, procedures and business goals
• Develops, maintains, and monitors a wide range of policies and procedures for the general operation of an effective and complete global compliance program, to prevent illegal, unethical, or improper conduct
• Maintains and expands an effective compliance communication and training program for the organization to promote awareness and understanding of each stakeholder’s obligations
• Designs, implements and evaluates compliance-related processes, business applications, LMS, and data management tools that are effective, scalable and suitable for a high growth company, so that business activities are conducted successfully and appropriately
• Manages day-to-day operation of the compliance program, including the retention of external vendors and advisors. Provides reports on a regular basis to keep the General Counsel, senior management and Board of Directors informed of the operation and progress of compliance efforts
• Collaborates with legal counsels to review and provide practical guidance on compliance issues including avenues for resolution. Consults with outside counsel as needed to resolve complex compliance issues
• Responds to alleged violations of rules, regulations and policies, conducts appropriate investigations to assess and resolve any non-compliance
• Reviews all key processes and procedures across the organization in order to ensure operational risk compliance within the Group.
• Provides counsel and advice to all department managers on all operational risk management issues that may occur.
• Manages the development and implementation of a clear statement of the group’s overall risk appetite in alignment with the Board and Risk and Compliance Committee and Chief Executive Officer directions.
• Supports the development of framework and guidelines to manage risk and helps to in still a risk-aware organizational culture.
• Assists Risk Committee in evaluating compliance, ERP software’s to develop and implement an automated compliance monitoring and reporting system.
• Guides the preparation of reports on a regular basis, and as directed or requested, to keep the Risk Committee and the Group Management informed of the Risk Management operations.
• Partners with the department heads throughout the asset management lifecycle to enable and ensure active risk management with an outlook towards optimizing the investment.