Compliance, Risk & Operations Director

A Compliance, Risk & Operations Director is required by a successful Financial Services business to take responsibility for the effective and efficient running of operational and financial matters, with specific compliance responsibility within the business.

The role will support and advise the Board in managing and developing long term plans for the business which will include oversight of operational risk, development of risk mitigation strategies and responsible for countering financial crime risk.

  • To review and assess the firm`s activities to assess compliance and operational risk whilst proactively leading on and building technical compliance frameworks.
  • Provide advice, guidance and support to the Board and staff on compliance, finance and operational issues.
  • Shape the firm’s activities to ensure compliance with all relevant FCA regulations involving the introduction of policies, systems and controls delivering training and conducting on-going compliance monitoring and reporting.
  • Preparing and transaction of all regulatory reporting to FCA (via Gabriel and Connect systems) reporting.
  • Conduct Compliance Monitoring Program ensuring findings from monitoring are actioned in a timely manner.
  • Preparation and updating of internal ICAAP process, oversight of financial reporting.
  • Oversee complaints handling process, investigating and resolving complaints arising.
  • Responsible for the MLRO function within the business and provide guidance and expertise in relation to operational risk.
  • Build cyber risk resilience by understanding the changing developments in relation to cyber risks, IT and digital technology.

You will have gained significant experience in a senior Risk, Compliance, Finance or Operations Management role within a financial services business. Any previous experience of asset management would be advantageous but is not essential. You must be able to demonstrate experience as a key influencer at Board level as well as an ability for long-term strategic thinking and application. You must also have the ability to interpret, understand and effectively communicate legal and regulatory rules and guidance to a variety of audiences. Superior communication skills are essential.

Location:Nottinghamshire

Salary:Very Competitive Salary

Reference:414849

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