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Head of Risk & Compliance – Regulated & Non-Regulated

  • Location: London
  • Salary: £100,000 - £120,000 per year
  • Job Type:Permanent

Posted 11 months ago

  • Sector: Compliance
  • Contact: Kirstie Burn
  • Contact Email:
  • Expiry Date: 10 March 2021
  • Job Ref: KBU/17092

Job Description:                               Our client is a Plc Property expert.  Operating on a digital platform, the company has the culture of a dynamic FinTech with a well-established brand and corporation behind it to be best in class.   This opportunity is to further support the current success and future growth plans.

Key responsibilities include:

  • Working in a fast paced environment in a newly created role in a varied and very exciting evolving business
  • Taking ownership of the Risk Register – assessing the quality of the KRI’s and improving the risk management process
  • Oversight of the compliance monitoring strategy – design, implement and drive the required compliance monitoring activities to ensure a robust plan is in place and all aspects delivered on time
  • Lead on all aspects of FCA regulation (2LOD)
  • Implement the three-year risk-based internal audit plan and assist with process mapping where necessary
  • Coordinate regular reviews of key risk areas, and work with teams to devise and implement new internal

control environments to minimise existing risks and mitigate emerging ones

  • Work closely with the CIO to create more efficient and effective system design around the business controls
  • Embed the risk and compliance function into the business culture – creating a positive and proactive compliance culture
  • Assist the third party supplier management framework from a risk and compliance and due diligence perspective
  • Work closely with other team members on technical GDPR matters


The Person

  • We are looking for someone who can work in a fast moving environment with the ability to manage multiple tasks simultaneously
  • Ideally, this candidate will bring a combination of expertise across Risk, Compliance and Internal Audit
  • This individual will have at least 5 years Compliance and Risk experience within the Financial Services sector
  • It will be beneficial to have experience of working in both regulated and non-regulated firms
  • Knowledge of the FCA handbook and, in particular, ICOBS, SYSC, SUP and DISP is desired
  • Exceptional stakeholder management skills required
  • The successful candidate must be able to demonstrate an ability to use their initiative – drive solutions and bring innovative and effective thinking / approach to all Governance matters
  • Working independently with minimal dedicated team resource will also be required