Head of Compliance, Uk

2 weeks ago

London, United Kingdom DigitalBridge Full time

Overview:
This role is based in London or Luxembourg. The UK Head of Compliance will have responsibility for the regulatory compliance of DigitalBridge’s FCA registered advisers with all applicable requirements under the UK regulatory framework. You will serve a lead role in a cross-functional compliance team that ensures DigitalBridge remains at all times in a good regulatory standing in the UK.

**Responsibilities**:

- Act as a day-to-day contact for regulatory compliance matters for relevant UK operations
- Work closely with DigitalBridge’s UK Executive Leadership to ensure operational compliance requirements across the region are implemented
- Provide compliance expertise to DigitalBridge’s UK Executive Leadership in relation to operational risks (including technology security risk, operational resilience and business continuity), conduct risks and prudential risks in order to build an effective compliance risk monitoring programme
- Monitor internal and external business, regulatory and technology environments to identify new or emerging compliance risks and verify remediation of issues as applicable
- Develop and oversee the Compliance Monitoring Programme, and maintain compliance policies and procedures
- Coordinate and liaise with DigitalBridge Global Compliance to ensure alignment between global, regional and local compliance policies, procedures, and operations
- Support regional product development by advising on the compliance impact and requirements associated with localized product launches
- Support regional marketing and brand development efforts by advising on the compliance impact and requirements associated with business and brand development, and advertising under applicable UK regulations
- Assist employees in understanding their responsibilities and applicable regulations by developing, implementing and conducting initial compliance training and annual employee training sessions
- Build and manage a local compliance operations function as required to support operations under future regulatory registrations or licenses
- Oversee all regulatory filings to ensure deadlines are satisfied

Qualifications:

- 8+ years in a senior compliance position at a financial firm, or regulatory institution
- Eligibility to be accepted for any necessary approvals under the FCA ‘Approved Persons’ regime for the relevant UK entities in scope, as applicable
- Knowledge of FCA regulations including SMCR and IFPR
- Previous experience in filing regulatory reports and providing compliance oversight
- Familiarity with anti-money laundering and know-your-customer best practices within UK regulation
- Experience developing policies and procedures desirable
- BS/BA required; relevant graduate degree is preferred.
- Excellent organizational skills, attention to detail, project management, presentation, inter-personal and relationship building skills.
- Strong written and verbal communication skills including communicating directly with senior stakeholders.
- Ability to make decisions and exercise discretionary authority necessary to successfully perform job duties.

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