Compliance and Risk Director

West Malling, UK
Closing date
23 Sep 2020

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Contract Type
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The role of Compliance and Risk Director is to provide oversight and guidance to the compliance teams throughout the Group. To set the Group compliance strategy and ensure that Group is compliant with all appropriate regulation.

Key Responsibilities
  • Provide oversight for compliance within the Group for their Regulatory requirements and obligations and promoting the highest standards of compliance and corporate governance
  • To keep under review all legislative, regulatory and governance developments that affect Group
  • Manage all aspects of the Group's interactions with the FCA, ICO, Ofcom or any other regulatory body as and when necessary
  • Oversee and develop the Group compliance and risk management strategy to meet the current and future needs of the organisation
  • Ensure the Group maintains its strong culture of achieving good customer outcomes
  • Ensure that the Group has a fit-for-purpose set of compliance arrangements which are clearly documented in policies and guidance documents, and that these are well communicated, rolled out, trained in and embedded across the Group
  • Maintain effective working relationships with the Regulators, including working with the Group to ensure that the company provides a thorough, accurate and timely response to Regulator requests
  • Oversee the completion and timely submission of Group regulatory forms and returns to the FCA and ensure that appropriate responses are made to FCA requests
  • Lead and direct the technical compliance advice across the Group ensuring the quality and timeliness of advice and guidance provided and further developing the policy suite
  • Proactively identifying and evaluating emerging regulatory developments and trends, new rules and requirements and market practices and ensuring that their relevance and impact on the Group is fully accessed and communicated and that appropriate preparations are made by the Group
  • Offer counsel across the Group on mitigating legal risks and the legal liabilities
  • Lead the Group Compliance Committee and the associated compliance and governance processes to ensure the key risk requirements of the Board are being met
  • Ensure the Board remain informed of regulatory, legislative and best practice changes and their obligations under these changes and how they impact Group
  • Provide the Group Board with the required management information to monitor the effectiveness of compliance and risk controls and management processes

  • A strong and capable leader who is able develop teams whilst providing clear direction and guidance
  • An entrepreneurial minded compliance expert with the ability to apply risk and compliance strategies whilst supporting innovation.
  • 5 + years of relevant broad based Compliance/Regulatory experience within Financial Services
  • Deep knowledge of FCA regulatory requirements and of FCA's expectations of regulated firms
  • Strong stakeholder management skills
  • Committed to continually developing technical expertise
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