Head of Risk and Governance

Chester, Cheshire
Circa £80,000
20 Dec 2017
19 Jan 2018
Experience Level
Department Head
Contract Type
Full time, Permanent

Our client is a specialist financial services’ firm who are currently recruiting for a Head of Risk and Governance. The role is responsible for making sure the business fulfils all of its regulatory requirements.

Key Responsibilities:

  • Hold FCA Approved Persons (or relevant equivalent) status and fulfil the required responsibilities of this role
  • Hold MLRO status and fulfil the required responsibilities of this role
  • Hold responsibility for the management and oversight of the business compliance function
  • Provide the Senior Management Team, Board and Investors with assurance that regulatory risks related to agreed business strategies are identified and assessed, and relevant direction and/or business advice is delivered
  • Provide guidance in a manner that is proactive, pragmatic and enabling
  • Initiate external research in relation to regulatory developments relevant to the  business model
  • Interpret relevant legislation and regulation for the firm, disseminating internally and where necessary externally (clients and partners) providing practical advice and support to the business and offering absolute clarity on legal and regulatory issues
  • Ensure an effective risk assessment and reporting framework is in place to facilitate proactive management of business risks and the reporting, escalation and resolution of issues identified
  • Attend (and chair where required) relationship and governance meetings, providing compliance and risk counsel, opinion and advice as required
  • Implement effective monitoring to demonstrate adherence with compliance processes, procedures and policies within the business
  • Provide the required returns and reports to the FCA and any other appropriate regulatory or accrediting bodies in a timely manner

Key Requirements-        

  • Experience in Regulatory Environment
  • An excellent knowledge of UK Compliance, Conduct Risk and AML
  • Experienced in implementing risk frameworks
  • Stakeholder Management