Head of Risk & Compliance
Our client is looking for a Head of Risk & Compliance to lead and oversee the compliance and risk management framework within a fiduciary business. This role will ensure adherence to regulatory requirements, develop policies and procedures, and act as a key advisor to senior management on compliance matters. The ideal candidate will have extensive experience in compliance and risk management, particularly within fiduciary services, and possess strong leadership, analytical, and communication skills.
Key responsibilities:
- Oversee and manage the firm’s risk and compliance framework, ensuring alignment with regulatory standards
- Act as the Compliance Officer and/or MLRO, taking responsibility for compliance monitoring and reporting
- Develop, implement, and maintain policies and procedures to ensure regulatory compliance
- Provide strategic advice to senior management and act as a trusted adviser on compliance matters
- Prepare detailed compliance reports, ensuring accuracy and adherence to reporting standards
- Communicate effectively with staff, senior management, and regulators, fostering a culture of compliance
- Conduct risk assessments and advise on appropriate risk mitigation strategies
- Promote and maintain a positive compliance culture within the organisation
- Provide training and guidance to staff on regulatory requirements and compliance best practices
- Stay updated with changes in financial services laws and regulations, ensuring the business remains compliant
Qualifications and experience required:
- At least 5 years’ experience in a fiduciary business-based compliance role, ideally as a Compliance Officer or MLRO
- Degree-level qualification in Business, Legal, Compliance, or Risk Management (preferred)
- Strong fiduciary compliance experience (preferred)
- Proven track record in report writing and proficiency in Microsoft Excel, Word, PowerPoint, and Outlook
- Excellent communication skills, with the ability to engage with staff, senior management, and regulators
- Trustworthy, discreet, and able to maintain confidentiality with a confident and assured manner
- Strong understanding of financial services laws and regulations, with the ability to promote compliance best practices
- Ability to balance segregation of function while serving as a second-line adviser to the business
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