Head of Risk and Compliance, Investment Consulting, Full or Part time, Flexible working
- Due to industry regulatory changes this is a new role responsible for firm’s regulatory compliance and operational risk management and oversight. The successful candidate requires investment consulting-specific compliance experience and it is an FCA regulated function responsible for SMF16/SMF17 (CF10/CF11) functions of the organisation
- The role includes chairing the Risk Committee, liaising with Board-level Audit and Risk committee and ownership of the Risk Register.
- Also responsibility for annual testing, internal audit, maintenance of the QAS and ISO 27001 certification processes, implementation of senior manager certification regime requirements, management of external compliance advisory resources as well as chair of certification committee, and oversight/execution/tracking of compliance training.
- Requirements include a minimum of 5 years “compliance lead” experience at an investment consultancy as well as experience holding a CF10/CF11 and/or SMF16/17 regulated function. In addition it requires a commercial awareness of the pensions consultancy, investment advisory and/or insurance space and risk management expertise.
- Other requirements are global compliance experience in EU and/or China, working on the recent investment consultancy CMA investigation, MIFID2 implementation experience and insurance industry experience.