- Develop the compliance function and lead the company's regulatory strategy ensuring its alignment to the product roadmap
- Establish and embed an effective risk management framework and monitor compliance with regulatory obligations
- Develop, manage and implement policies and procedures for regulatory compliance
- Act as a strategic advisor to the businesses Executive and Senior Management for growth and expansion
- Ensure adherence to regulatory requirements and reporting obligations and advise the business across all regulatory and compliance matters
- Ensure the business products are developed with a complete understanding of the regulatory implications and the company systems and processes meet the relevant quality and regulatory standards
- Monitor new legislation, guidance, consultations and cases that impact financial regulation
- Perform compliance checks and report on risk and compliance of internal business processes, to provide assurance to clients; support external quality standards (for example, ISO27001); and ensure key suppliers are complying with agreed standards and contract terms
- Promote a sustainable culture of risk awareness in the business that is consistent with the businesses core values
- Demonstrable knowledge and experience within a regulatory environment including a sound understanding of the FCA's Senior Managers and Certification Regime
- Detailed knowledge and understanding of financial regulations and challenges that impact and affect the capital markets industry including knowledge of incoming legislative consultations and proposals
- Experience of practical application of relevant financial regulatory frameworks including but not limited to the FCA Handbook (COBS and CASS), Regulated Activities Orders, FSMA, PDS2, EMD2, AIFMD, UCITS, MIFID II, IDD, EMIR, Financial Crime legislation (including MLRs, MAR, POCA, etc.) European Union Withdrawal Agreements; and of regulations for ICAAP/ICARA, ISO27001
- Excellent verbal and written communication skills with the ability to confidently engage with and influence a variety of stakeholders at differing levels across the business
- A grasp of Blockchain and Tokenisation
- Understanding of the regulatory landscape in our target markets, e.g. North America, Switzerland and the EU, regulatory environment
- A qualification in Business or a related field
- Ongoing professional development demonstrating learning agility
- Share options in a rapidly growing fintech that is starting to scale
- Unlimited holidays
- Flexible and remote working
- Private Medical Insurance with Vitality including discounted gym membership and Vitality Rewards schemes
- Company pension
Head of Risk and Compliance - London, United Kingdom - Creo Recruitment
Description
Job Description
Head of Risk and Compliance
About us
Our rapidly growing fintech customer are transforming the private capital markets. With deep regulatory knowledge and cutting-edge technology, they have enabled frictionless asset creation and transferability across the digitisation of all assets.
Their technology is already being used by some of the largest institutions in the world, such as the Johannesburg Stock Exchange and Nomura/Instinet.
The role
As a regulated business, compliance is not only mandated by regulatory bodies, it is also key to business success. The business are currently regulated by the FCA in the UK, however they are seeking additional regulatory authorisation in other markets including the EU and North America.
Due to an exciting and sustained period of growth and future expansion, we're looking for a talented Head of Risk and Compliance to join the team and build on great foundations to develop the Risk and Compliance function and support the company in its mission to unlock capital market's true potential.
You will provide leadership and guidance to the wider business to ensure they remain compliant with regulatory and internal standards. You will identify opportunities for improvement in the business and work with the business to reduce and manage risks effectively, identify opportunities for improvement and ensure that they remain compliant to both their regulatory and internal standards.
Remote working supported. UK based, travel to London will be required,
Your responsibilities
You
Our ideal candidate is a highly motivated and energetic Risk and Compliance Leader looking to join a thriving business and take the next step in their career.
You'll have strong commercial awareness and analytical skills to demonstrate a strategic approach to risk management and drive compliance and change by challenging the status quo whilst also taking complex information and communicating that in a more simplified manner to the business.
Demonstrable knowledge and experience within a regulatory environment including a sound understanding of the FCA's Senior Managers and Certification Regime
Desirable skills and experience
What we can offer you