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Head of Safeguarding and Compliance

2 months ago

London, Greater London, United Kingdom Empirical Search Limited Full time
Job Title: Head of Safeguarding

Empirical Search Limited is seeking a highly skilled and experienced professional to lead our safeguarding efforts globally. As the Head of Safeguarding, you will be responsible for designing and implementing our safeguarding policy framework across multiple regulated entities.

Key Responsibilities:
  • Develop a regulatory approach across products to provide analysis and enable operational flow of fund models, providing recommendations to meet safeguarding requirements for existing products and new business requirements.
  • Oversee safeguarding compliance and develop enhancements to manage and remediate breaches, alongside monitoring to satisfy regulatory requirements.
  • Manage escalations, management information, and project updates to Senior Management and committees.
  • Manage and lead safeguarding-related audits working directly with audit firms and regulators, while coordinating internally across various departments.
  • Manage projects to develop and enhance safeguarding-related processes and controls with treasury teams to ensure compliance with related policies.
  • Develop and document safeguarding policies to support the framework, including delivery of training materials.
  • Involvement in wider strategic global expansion and regulatory initiatives within the treasury space.
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 (e.g. EMI/PI Safeguarding, CASS or banking).
  • Strong communication and influencing skills with an ability to build and leverage cross-functional relationships internally and externally (e.g. audit firms and regulators).
  • Good understanding of treasury concepts within financial services firms, such as reconciliations, cash management, and FX, including associated risks and controls.
  • Experience of working through change and implementing new cross-functional processes.
  • Attention to detail and proactivity crucial.
  • Experience of line management and track record of supporting career development within teams.
  • Forward-thinking, adaptable, and thrives in a fast-paced environment.