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    Senior Manager, Risk, Compliance and Policy - United Kingdom - Rev & Regs Limited

    Rev & Regs Limited
    Rev & Regs Limited United Kingdom

    4 weeks ago

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    Description

    Rev & Regs are recruiting for a Head of Risk & Compliance role for a rapidly growing tech-focussed Capital Markets company.

    Reporting to the Chief Operating Officer, the Head of Risk & Compliance will work closely with the board to develop fit for purpose Compliance Frameworks, Policies & Procedures, and implement and embed the companywide Risk Management Framework.

    Develop the risk and compliance function, as well as lead the company's regulatory strategy in line with commercial strategy and product development roadmap.

    Act as regulatory strategic advisor to members of the Executive Board and Senior Management relating to growth and expansion.

    Develop and embed a robust risk management framework to support sustainable growth of the business.
    Develop, manage and implement policies and procedures for regulatory compliance.
    Ensure adherence to regulatory requirements and reporting obligations and advise the business on compliance matters.

    Ensure all new products are developed with a thorough understanding of the regulatory implications and company systems and processes meet the relevant quality and regulatory standards.

    Manage Horizon Scanning and keep abreast of all new regulatory requirements which may effect the business.
    Perform checks and report on risks arising.

    Manage compliance of internal business processes, to provide assurance to clients and support external quality standards (for example, ISO27001); and ensure key suppliers are complying with agreed standards and contract terms.

    Promote a sustainable risk culture across the business.

    Ideal candidate will have previously held the SMF16/17 functions, but potentially open to senior candidates who haven't held them.

    Proven experience working in regulatory environment with strong knowledge of SMCR.
    Detailed understanding of the regulatory requirements which effect the Capital Markets sector.

    Experience or practical application of regulatory frameworks including but not limited to FCA Handbook (COBS, SYSC AND CASS), MIFID II, Financial Crime rules, and ICAAP/ICARA regulations.

    Proven track record in developing and embedding operational risk frameworks.
    Experience working in a fintech or start-up environment.
    Experience working with US, EU regulators and regulatory environment.
    Direct experience with Blockchain and Tokenisation.
    Salary - £130,000 pa + company benefits package.
    Seniority level Mid-Senior level

    Employment type Full-time

    Job function Legal, Accounting/Auditing, and Finance
    Industries Capital Markets, Investment Banking, and Financial Services
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