Manager / Senior Manager, Policies & Risk Management

2 weeks ago


United Kingdom Rev & Regs Limited Full time

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.
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.
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.
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.
Seniority level Mid-Senior level

Employment type Full-time

Job function Legal, Accounting/Auditing, and Finance
Industries Capital Markets, Investment Banking, and Financial Services
Get notified about new Head of Compliance jobs in United Kingdom .
Head of Credit - Structured Asset Finance
Fraud Manager (Insights and Future Strategy)
Head of Risk & Compliance, Capital Markets
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#



  • United Kingdom Rev & Regs Full time

    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...


  • United Kingdom Rev & Regs Full time

    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...


  • United Kingdom Empirical Search Limited Full time

    We are supporting a retail financial services provider in the South East of England with their search for a new Head of Prudential Risk, on a part time basis. The purpose of this role is to work closely with the Chief Risk Officer to establish and then manage the second line oversight of capital, credit, liquidity, operational and interest rate risk. Partner...


  • United Kingdom BDO UK LLP Full time

    An accountancy and business advisory firm, providing the advice and solutions entrepreneurial organisations need to navigate today’s changing world. We work with the companies that are Britain’s economic engine – ambitious, entrepreneurially-spirited and high‑growth businesses that fuel the economy - and directly advise the owners and management...


  • United Kingdom Taylor Root Full time

    Shape the Future of Operational Risk! A globally recognised leader in financial services, seeks a passionate and experienced Head of Operational Risk to join their growing risk team in London. You'll play a key role in strengthening and driving their operational risk framework, ensuring the Bank's continued success and stability. Must Haves: Second...

  • Risk Manager

    1 week ago


    United Kingdom Maples Group - Legal Services Full time

    The Maples Group is a standard bearer in financial and legal services, trusted by many of the world’s largest hedge fund managers, private equity firms and international corporations. Our distinction flows from our carefully curated team: 2, 5 00+ professionals characterised by tenacity, e thics and exacting excellence. Operating in key financial centres...


  • United Kingdom Broster Buchanan Full time

    Reportingdirectly the Head o Enterprise Risk and working in a small, high calibre, second line risk function you, you will be responsible for: Developing the organisation's operational risk management framework and taking it to the next level. Creating and developing the RCSA process for risk and controls Engaging and influencing senior level...


  • United Kingdom Belmont Green Finance Limited Full time

    The role is part of the Credit Risk function, which sits in the Company’s 2nd Line of Defence, and is tasked with the development and ongoing maintenance of the Credit Risk Management Framework, which includes Credit Policies; Retail Credit Concentration Risk Policy; Lending Mandates & Exceptions Policy; Responsible Lending Policy, as well as being...

  • Risk Manager

    1 month ago


    United Kingdom JAM Recruitment Full time

    Job Title: Senior Risk Manager Location: Bristol (Hybrid) With a strong focus on risk management, my client prides themselves on offering a market leading risk capability to the infrastructure sector. Working across various industries and with a diverse portfolio of projects ranging from infrastructure development to technology implementations. As a...

  • Senior Risk Manager

    23 hours ago


    United Kingdom Broster Buchanan Full time

    Reportingdirectly the Head o Enterprise Risk and working in a small, high calibre, second line risk function you, you will be responsible for: Developing the organisation's operational risk management framework and taking it to the next level. Creating and developing the RCSA process for risk and controls Engaging and influencing senior level...

  • Risk Manager

    1 week ago


    United Kingdom Maples Group - Legal Services Full time

    The Maples Group is a standard bearer in financial and legal services, trusted by many of the world’s largest hedge fund managers, private equity firms and international corporations. Our distinction flows from our carefully curated team: 2, 5 00+ professionals characterised by tenacity, e thics and exacting excellence. Operating in key financial centres...

  • Risk Management

    3 weeks ago


    United Kingdom Association for Project Management Full time

    My client is a Contractor of HVAC Projects. Due to expansion plans they are looking for a Ventilation & Ductwork Project Manager to join their team. The senior management team have extensive industry experience and are well renowned with in the UK. The successful applicant will have experience of HVAC Project Management or a senior Engineer preferrably...


  • United Kingdom Empirical Search Limited Full time

    Leading and reputable financial product provider with a sizeable balance sheet is building out its Prudential Risk team. As a trusted advisor to the 1st line of defence, the teams’ main objective is to enable the business to make effective risk-based decisions, considering the prudential regulatory framework and underpinned by robust controls and...


  • United Kingdom Redefined Ltd Full time

    Senior Credit Risk Manager, you will be responsible for the second line management of credit risk for the business. Leading a team of two, you will develop credit risk policies and related standards. Providing oversight and assurance to the Executive and Board that credit risk is being managed within risk appetite. Working with the Head of Credit Risk, you...


  • United Kingdom Janus Henderson Investors Full time

    Our Mission at Janus Henderson is to help clients define and achieve superior financial outcomes through differentiated insights, disciplined investments, and world-class service. We will do this by protecting and growing our core business, amplifying our strengths and diversifying where we have the right. Our Values are key to driving our success, and...

  • Senior Risk Manager

    4 weeks ago


    United Kingdom Taylor Root Full time

    Join a Leading European Renewable Energy Developer and Make a Difference Do you have a passion for risk management and a desire to work for a company with a positive impact? A leading European developer in the renewable energy sector, committed to building a sustainable future, are looking for a Senior Risk Manager to join their team in London. In this...

  • Senior Risk Manager

    4 weeks ago


    United Kingdom Taylor Root Full time

    Join a Leading European Renewable Energy Developer and Make a Difference Do you have a passion for risk management and a desire to work for a company with a positive impact? A leading European developer in the renewable energy sector, committed to building a sustainable future, are looking for a Senior Risk Manager to join their team in London. In this...

  • Senior Manager

    2 weeks ago


    United Kingdom G7CR Technologies India Private Limited Full time

    Role: Legal & Compliance Employment Type: Full Time An ideal candidate for this position will ensure the company adheres to legal standards and in-house policies. Candidate will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters. A great Compliance Manager is well-versed in...


  • United Kingdom Cyberwrite Full time

    REMOTE JOB - ANY LOCATION. EXCEPTIONAL COMPENSATION PACKAGE FOR THE RIGHT CANDIDATE. Job description – Senior Cyber Cat Modeler  Cyberwrite is searching for a Senior Cyber Catastrophe Risk Modeler to join our mission to lead the cyber-insurance risk analytics market with our patented cyber risk platform.  You are a passionate, detail-oriented, and...


  • United Kingdom CA A Sco Full time

    Share this job as a link in your status update to LinkedIn. Job Title Education Post Secondary Education Location 1. Thornhill Office - Thornhill, ON CA (Primary) Manager Category Finance/Accounting/Audit Job Type Full-time Job Description As part of CCG’s second line of defense, the Operational Risk Manager will be accountable for the...