Director Risk & Compliance – Equiniti Financial Services Ltd

Director Risk & Compliance – Equiniti Financial Services Ltd

Equiniti Financial Services Limited (EFSL) is part of the EQInvest division of Equiniti. We provide investment, settlement, and custody services for corporate clients, their employees and third party investors, with approximately £20bn of client assets under the Company’s administration, as well as supplying award winning software solutions for the financial services industry.

We are now seeking an ambitious and influential risk and compliance professional to join the EFSL business in the newly created position of Director Risk &Compliance. This opportunity offers the ability to shape the destiny of the function, with a high level of input and influence, and working in association with a leadership team that willingly embraces risk and compliance.

About the role

The Director Risk & Compliance will play a key role in the leadership of the division as part of the EQInvest Executive Management team. The key purpose of the role is to manage the Risk & Compliance team and the incumbent will have the gravitas and experience to take on new responsibilities. Whilst a director level position, you will be comfortable being hands on, and have previous experience in building and evolving frameworks.

As the Director of Risk and Compliance your duties will incorporate;

•Establishing and delivery of the annual Risk & Compliance plan for the division

•Managing a cost centre, ensuring achievement of the EQInvest annual budget

•Establishing, reviewing, enhancing or simplifying a variety of risk frameworks

•Managing the Risk & Compliance Team, including day to day people management, performance reviews and development planning

•Owning, planning and executing items relating to key regulatory projects

•Preparing updates for the EFSL Board and attendance at presenting at Board meetings

•Participating in Divisional and Group Committees, forums and initiatives

•Ensuring the effective operation of the EFSL Management Committee framework

•Oversight of compliance with FCA and other regulatory requirements

•Overseeing the effective operation of the CASS Oversight team

•Ensuring effective operation of the risk management framework within the division

•In collaboration with the Group Risk &Compliance team, identifying and implementing changes required to confirm with new regulatory requirements

•The effective operation of the supplier governance framework, including the Intra-Group agreement under which key services are outsourced

•Ensuring efficient and effective remediation of actions identified by 2nd and 3rd line reviews

The skills, experience and attributes we are seeking from you include;

•Senior management experience within a regulated financial services business

•Highly developed interpersonal skills, with the ability to build strong relationships with key stakeholders and influence where required

•Detailed knowledge and understanding of the FCA handbook, including CASS, COBS, SYSC and IFPRU

•Practical experience of operating a risk management framework within a financial services business

•The ability to work both at a strategic level, whilst being to be hands on where required

•Strong leadership qualities, acting as a role model to the team and other colleague

•Proven management capability, setting clear targets and expectations for the team

•High level of understanding and awareness of the UK and EU regulatory landscape for financial services

•Strong business planning skills with the ability to balance the need for a high-level strategic approach with the requirement for detailed implementation plans;

•Strong influencing skills and an ability to operate effectively within a matrix management framework

•Financially literate with cost centre management experience

•Previous experience within stockbroking or funds management would be highly regarded

In return for you

This role is an excellent opportunity for an ambitious and established risk/compliance professional who is looking to make a step forward into a role of influence where they can make a significant impact. The role is highly visible and will work directly with the EFSL executive committee as well as natural exposure to the board.

To Apply

Please complete our simple application process online using a current resume or your LinkedIn profile. Alternatively for further information or for a confidential conversation please contact Nick McAulay on 07484 508 918.

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