Broadgate
Director of Risk, Compliance & MLRO (SMF16&17)
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Director of Risk, Compliance & MLRO (SMF16&17)
As the Director of Risk, Compliance and MLRO you will be a member of Executive Management Team. Providing independent strategic and operational oversight of building and shaping the compliance function. Delivering the right strategies, tools and controls to promote a positive risk and compliance culture and associated behaviours across organisation.
Some Key Responsibilities
- Lead the delivery of the Compliance Assurance programme across the business.
- Development, implementation and maintenance of appropriate compliance, risk and financial crime frameworks
- Deliver robust oversight on non-financial risks, including operational, change, conduct and reputational risk in collaboration with the Chief Executive
- Horizon scanning, ensuring compliance with relevant UK regulations and legislation, including financial crime and Anti-Money Laundering
- Drive forward looking insight into major risks, anticipating major exposures and providing analysis to stakeholders
- Design, enhance and build out effective 2nd Line of Defence oversight
- Compliance monitoring via testing of first line quality assurance activities and Thematic Reviews
- Supporting the wider People strategy with SMCR (Senior Manager Certification Regime) and maintaining a culture which embraces awareness and prevention of conduct risk
- Carry out the responsibility of MLRO with full access to resources and information to enable a stance of authority and independence
- Compilation of the MLRO annual report and subsequent recommendations to the BRAC (Board Risk & Audit Committee)
- MLRO reporting to regulatory bodies and board/committees
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- Proven experience in Risk management and Compliance in UK Financial regulated mortgages business
- Strong MCOBS experience
- Thorough understanding of SMCR (Senior Manager Certification Regime)
- Commercially minded
- Previously held an SMF16 or SMF17 role, both would desirable
- Excellent relationship and stakeholder management skills with an ability to challenge at all levels
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