Compliance and Risk Officer

Stronghold Global Finance Ltd (UK) is currently seeking a Risk and Compliance Officer to join the team based in our London office in Knightsbridge

Key Responsibilities

Compliance and AML

• Run the Compliance and AML function and lead the implementation and maintenance of the compliance framework for the London office
• Build working relationships with the FCA, and other key regulatory bodies
• Advise all staff on new rules and regulations
• Maintain policies and procedures in accordance with regulatory requirements and corporate governance guidelines;
• Implement controls and work together with marketing and customer support to ensure that compliance requirements are met
• Support new opportunities for the business from a compliance perspective
• Facilitate, participate and consult in the execution of the assurance and monitoring programmes
• Provide advice, guidance and training to staff across the business.
• Preparation and delivery of Compliance reports.
• Monitoring developments on local legal/regulatory websites for potential regulatory compliance obligations/issues.
• Assist in ad hoc projects as and when required
• Manage regulatory licences both in the UK and internationally
• Manage regulatory oversight, controls, reporting and engagement.
• Report to senior management, including the Board of Directors, as the risk owner for compliance.
• Monitor, test and report on the effectiveness of the Compliance Monitoring Plan.
• Constantly drive for improvement in efficiency and risk management.
• Develop talent, including line management of team members
• Filing for audit purposes

Risks

• Designing and implement and lead an overall risk management framework for the business
• Performing risk assessments and evaluations: Analysing current risks and identifying potential risks that are affecting the business
• Establishing and quantifying the firm’s risk appetite and ensuring the risk approach adheres accordingly.
• Preparing risk management and insurance budgets
• Risk reporting tailored to the relevant audience. (Educating the Executive Committee about the most significant risks to the business; ensuring business heads understand the risks that might affect their departments; ensuring individuals understand their own accountability for individual risks)
• Communicating the firm’s risk management policy and processes to clients/external stakeholders
• Keeping abreast of latest industry practices and technology risk analysis including in ESG
• Establishing, maintaining and testing business continuity plans to limit risks
• Conducting policy and compliance audits
• Horizon scanning to increase awareness of risks affecting the business
• Managing insurance policies and maintaining records of insurance and claims
• Supporting the Executive Committee in creating, embedding and maintaining a risk aware culture
• Building risk awareness amongst staff by providing support, education and training within the firm
• Keeping abreast of legal, regulatory and best practice developments and any risk impacts

Experience

The ideal candidate will have relevant work experience in a senior risk and compliance role with a strong preference for demonstrated prior experience in capital markets, with experience of Structured Finance, Credit, M&A and Advisory being beneficial.

Candidates should have the ability to analyse and interpret existing procedures.

The firm is expanding rapidly so candidates must be adaptable and enjoy change. They must also be able to work autonomously, as well as being able to demonstrate a collaborative approach.

Candidates must be happy to work in a small collegiate office in a young and innovative company.

For any enquires regarding the role, please kindly email careers@stronghold-finance.com