Head of Risk & Compliance

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