Safeguarding and Compliance Manager

3 weeks ago

London, Greater London, United Kingdom Empirical Search Full time
Safeguarding and Compliance Expert

Empirical Search is seeking a highly skilled Safeguarding and Compliance Expert to join our team. As a key member of our organization, you will play a critical role in the development and implementation of our Safeguarding Policy Framework across multiple regulated entities.

The successful candidate will have a strong understanding of protection/custodianship of customer assets and related regulatory frameworks, including EMI/PI Safeguarding, CASS, and banking. You will be responsible for contributing to the design and overall implementation of our Safeguarding Policy Framework, developing regulatory approaches across products, and managing escalations, management information, and project updates to Senior Management and committees.

Key Responsibilities
  • Develop and implement Safeguarding policies and procedures to ensure compliance with regulatory requirements.
  • Conduct risk assessments and identify areas for improvement in our Safeguarding framework.
  • Collaborate with audit firms and regulators to ensure compliance with related policies and procedures.
  • Manage and lead safeguarding related audits and projects.
  • Develop and document Safeguarding policies to support the framework, including delivery of training materials.
Requirements
  • 7+ years of experience in treasury, finance, regulatory, or risk-related fields.
  • Strong understanding of protection/custodianship of customer assets and related regulatory frameworks.
  • Excellent communication and influencing skills with the ability to build and leverage cross-functional relationships.
  • Good understanding of treasury concepts within financial services firms, including reconciliations, cash management, and FX.
  • Experience of working through change and implementing new cross-functional processes.

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