UK Compliance Director

• Highly credible with regulators, Boards and senior stakeholders.
• Strong leadership, influencing and stakeholder management skills.
• Commercially aware and pragmatic while maintaining independence and objectivity.
• Excellent judgement and risk-based decision-making capability.
• Strong verbal and written communication skills.
• Ability to distil complex regulatory requirements into practical business actions.
• Collaborative and relationship-focused leadership style.
• Resilient, adaptable and effective within evolving and dynamic business environments.
• Committed to maintaining the highest standards of integrity, professionalism and conduct.

Compliance Leadership & Function Management

• Lead and manage the RiverStone UK Compliance function, ensuring it operates as an effective and independent second line of defence.
• Develop and execute the UK Compliance strategy, objectives and annual priorities.
• Maintain a robust Compliance framework that is aligned to UK regulatory requirements and Group standards.
• Foster a positive compliance culture across the organisation through leadership, engagement and effective communication.
• Build and maintain strong working relationships with business leaders, SMFs, control functions and Group stakeholders.
• Lead, coach and develop members of the Compliance team.
• Support RiverStone's continued growth and evolution by providing practical, risk-based regulatory guidance and oversight.

SMF16 Compliance Oversight Responsibilities

• Fulfil all regulatory obligations associated with the SMF16 Compliance Oversight function.
• Establish, maintain and oversee an effective UK Compliance framework aligned with the overall Group Compliance framework.
• Advise the UK Board, Executive Committee and Senior Managers on regulatory obligations and compliance risks.
• Maintain a comprehensive, risk-based Compliance Risk Assessment covering all applicable legal and regulatory requirements.
• Lead the identification, assessment and escalation of compliance risks and control weaknesses.
• Maintain effective horizon scanning arrangements to identify emerging regulatory developments and assess business impact.
• Oversee implementation of regulatory change requirements and support business readiness activities.
• Support the operation of the Senior Managers & Certification Regime ("SMCR"), including fitness and propriety assessments, Statements of Responsibilities and Maintenance of the Management Responsibilities Map.
• Maintain oversight of conflicts of interest, conduct risk, whistleblowing arrangements, policy governance and regulatory training programmes.
• Ensure effective oversight of third-party and outsourcing arrangements from a Compliance perspective.

SMF17 Financial Crime Responsibilities

• Fulfil all regulatory obligations associated with the SMF17 Money Laundering Reporting Officer function.
• Maintain and oversee RiverStone UK’s Financial Crime framework, including anti-money laundering, sanctions, anti-bribery and corruption, fraud and related financial crime controls, within the overall Group Compliance framework.
• Establish relevant financial crime policies, standards, risk tolerances and escalation requirements consistent with the framework.
• Review and assess financial crime escalations and significant investigations.
• Maintain effective Suspicious Activity Reporting processes and fulfil statutory reporting obligations where required.
• Lead the production of the annual MLRO Report and associated Board reporting.
• Own and maintain the Business-Wide Risk Assessment ("BWRA").
• Provide UK oversight of customer due diligence, sanctions screening, politically exposed person ("PEP") processes and adverse media arrangements.
• Monitor financial crime regulatory developments and ensure effective implementation of changes.

Regulatory Engagement & Regulatory Affairs

• Act as RiverStone UK’s principal Compliance contact for the PRA, FCA and Lloyd's, in conjunction with the UK CEO.
• Maintain constructive, transparent and professional relationships with regulators.
• Coordinate regulatory notifications, submissions and responses to regulatory enquiries.
• Lead UK Compliance input into regulatory reviews, inspections and thematic assessments.
• Provide regulatory guidance to senior management on the implications of new and emerging regulatory requirements.
• Coordinate with Group Compliance on material regulatory matters and issues impacting multiple jurisdictions.

Compliance Risk, Monitoring & Assurance

• Develop and maintain a risk-based UK Compliance Monitoring Plan aligned to regulatory risk assessments.
• Oversee compliance monitoring, testing and thematic review activities.
• Ensure findings are effectively reported, tracked and remediated in a timely manner.
• Provide independent assurance to the UK Boards and Executive Management regarding the effectiveness of key compliance controls.
• Maintain oversight of complaints management arrangements and review escalated complaints as required.
• Ensure meaningful management information is produced to support effective decision-making and risk management.

Governance & Board Reporting

• Produce high-quality reporting for the UK Boards, Executive Committee and relevant governance forums.
• Prepare and present the annual MLRO Report, Whistleblowing Report and other governance reporting as required.
• Escalate significant regulatory risks, breaches and control concerns appropriately and in a timely manner.
• Support effective governance through clear articulation of risks, emerging trends, remediation activity and regulatory developments.
• Ensure regulatory risks and compliance issues are accurately reflected within UK Board and Committee reporting.

Policy Governance, Regulatory Change & Training

• Maintain UK Compliance policies, standards and procedures, ensuring they remain aligned with applicable regulatory requirements and the Group’s overall approach to policy maintenance.
• Support the periodic review and approval of Compliance-related policies and standards.
• Contribute to Group-wide policy governance and policy refresh activities.
• Maintain UK Compliance operating procedures and supporting documentation.
• Lead Regulatory Horizon Scanning activities and maintain oversight of regulatory change initiatives.
• Deliver and oversee Compliance training and awareness programmes tailored to UK regulatory requirements.

Strategic Advisory & Business Partnership

• Provide Compliance advice and challenge in relation to strategic initiatives, acquisitions, business change and operational developments.
• Support business leaders in identifying practical and proportionate solutions to regulatory issues.
• Act as a trusted adviser to the UK Boards, Committees and Senior Management on regulatory strategy, governance and conduct matters.
• Promote a culture where Compliance is viewed as a valued business partner and enabler of good customer and regulatory outcomes.

Benefits

We believe in taking care of our team and helping our employees thrive both professionally and personally. Our benefits include:

• Private Medical and Dental cover – Comprehensive Private Medical and Dental Insurance schemes with Bupa
• Health and Wellness –including access to our Employee Assistance Programme, Headspace subscription, Mental Health First aiders at each site, up to five funded counselling sessions per year, annual health check-up and eye test voucher
• Wellbeing Allowance – Can be used towards either physical or mental health wellbeing activities
• 25 days’ holiday per year – plus bank holidays and office closure on Christmas Eve. Holiday entitlement increases with length of service
• Bonus scheme – dependent on achieving individual, department and company goals
• Pension – a non-contributory defined contribution pension scheme
• Life Assurance – provides a lump sum 10 x your salary
• Permanent Health Insurance Scheme – scheme pays benefits during a prolonged period of illness or disability lasting more than 26 weeks
• Parental Leave – Enhanced Maternity,