Senior Risk and Compliance Leader

1 week ago

London, Greater London, United Kingdom Plum Fintech Full time
About the Role

We are seeking a highly skilled and experienced Senior Risk and Compliance Leader to join our team at Plum Fintech. As the Group Head of Risk and Compliance, you will be responsible for leading and developing our Compliance and Risk team, ensuring they support business solutions and innovation.

Key Responsibilities
  • Lead the Compliance and Risk Function: Manage the compliance and risk teams, ensuring they are aligned with the company's goals and objectives.
  • Develop and Implement Risk and Compliance Framework: Develop and implement the group's risk and compliance framework, ensuring it is aligned with regulatory requirements.
  • Foster a Strong Risk and Compliance Culture: Foster a strong risk and compliance culture across the organization, ensuring all employees understand their roles and responsibilities.
  • Communicate and Liaise with Regulatory Bodies: Communicate and liaise with regulatory bodies, ensuring compliance with relevant laws and regulations.
  • Develop and Oversee Compliance Monitoring Program: Develop and oversee the implementation of the firm's compliance monitoring program, evaluating the sufficiency and efficiency of compliance measures and controls.
  • Develop and Oversee Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) Policies: Develop and oversee the implementation of AML and CTF policies, ensuring compliance with relevant regulations.
  • Ensure Compliance with Regulatory Requirements: Ensure compliance with relevant regulations for Plum's products throughout their lifecycle, working closely with the business to meet regulatory standards.
  • Provide Guidance and Training: Provide guidance, advice, and training to the teams to improve their understanding of regulatory requirements and relevant laws.
  • Lead Regulatory Engagement: Lead and oversee the engagement with the FCA and other regulators in connection with regulatory matters and regulatory applications.
  • Monitor Regulatory Changes: Monitor regulatory changes, amendments, trends, or any other developments that may impact our operations and update internal records accordingly.
  • Prepare and Present Risk and Compliance Reports: Prepare and present risk and compliance reports to the Board, advising them on strategic direction on risk and compliance matters.
Requirements
  • Extensive Experience in Senior Risk and Compliance Role: Possess extensive experience in a senior risk and compliance role within the financial services industry, with relevant sectors including Payments, Banking, and Investment Services.
  • Highly Skilled in Risk Management: Be highly skilled in risk management, with a strong understanding of regulatory requirements and industry best practices.
  • Previous Experience in Partnership Working: Have previous experience working in partnership across various business functions, with a strong ability to communicate and collaborate with stakeholders.
  • Knowledge of Regulatory Requirements: Be knowledgeable of FCA and EU regulations related to regulatory compliance and financial crime regulation (AML/TF, fraud, ABC), including GDPR and investment services regulation.
  • Professional Certification in Compliance: Possess professional certification in compliance, such as CISI or similar.
  • Proven Leadership Capabilities: Demonstrate proven leadership capabilities, with a strong ability to guide and foster a top-tier team.
  • Strong Analytical and Organizational Skills: Be strongly analytical, with great organizational and communication skills, and attention to detail.

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