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.
Responsibilities:
- 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.
Experience required:
- Deep knowledge of the Capital Markets sector required.
- 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.
- Excellent written and verbal communication skills, and the ability to engage with stakeholders at all levels of seniority.
- Desirable experience:
- 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.
If you are interested, please apply today