Chief Risk and Governance Officer


Reference ID





to c£85,000 pro rata pa + benefits

Contact Person

Angela Liscombe

Job description

Chief Risk and Governance Officer

Nottingham (Our ref AL977)

Interim Role for up to 12 months

Salary c£70,000 - £85,000 pro rata per annum plus benefits including City Centre Parking


My client, a highly successful Asset Management company, and they now have a vacancy for a Chief Risk and Governance Officer to join their team.


Responsible to:      Chief Executive Officer 

Responsible for:      Head of Operational Risk & Financial Crime


The role


·        Responsibility for risk oversight, compliance, investment management monitoring and legal functions within a fast-growing host ACD and investor servicing business.

·        Expertly assess risk throughout the organisation, quantify risk limits and act as custodian of the risk appetite.

·        Communicate effectively to key stakeholders regarding the risk profile of the business, through presentations, updates and reports.

·        Constantly research and review wider industry developments and specifically but not limited to regulatory and industry insight to ensure the Company is up to date and pioneering in its approach.

·        Enable solution focussed digital innovation through the post holders experience and understanding of digital world and platforms.

·        Build cyber risk resilience by understanding the changing developments in relation to cyber risks, IT and digital technology.

·        Provide guidance and challenge on a raft of business linked risk factors such as: regulatory, operational, reputational, financial, compliance, market and liquidity risks, in connection with the defined strategy.

·        Responsibility for the firms policies and procedures for countering the risk that the firm might be used to further financial crime.

·        This role encompasses SMF16 (Compliance Oversight).


The Person


·        Deep understanding of investment management monitoring, including stress testing scenarios, liquidity management and adherence to UCITS rules.

·        Must have the ability and tenacity to challenge investment managers, effect and influence change as required and document all stages of the monitoring process thoroughly.

·        Extensive knowledge of SMCR, AMMS, GDPR, MiFID, and other regulatory developments and proficiently translates interpretation into risk and impact.

·        Comprehensive understanding of the risks and management of digital/ cyber vulnerabilities and maintains awareness of the evolving security risks and trends in domain areas and provides technical expertise in support of IT security compliance and security assessments.

·        An excellent motivational management style and strong communication skills. The ability and appetite to promote and champion the Companys expertise externally as a risk management best practice champion. A core expectation of the role is the further development of strong, effective relationships outside the organisation, with key external institutions and platforms to encourage open communication, keep appropriate pace with change and mitigate risk.

·        Demonstrable experience of managing and maintaining robust and appropriate risk frameworks in a highly regulated service focused environment. A commitment to significantly contribute through education and knowledge sharing, to the preservation of the investor centric culture, which drives the business.

·        Has proven competencies and can draw on experience of acting in a CF/ SMF capacity, within either FCA or PRA regulated firms.

·        The postholder has the knowledge, confidence and experience to express and substantiate views in the pursuit of safeguarding investors, clients and employees, and ensuring the fitness and propriety of the business. The postholder must also thrive in a team environment and understand the importance of engaging with a diverse range of people and audiences to improve investor outcomes and contribute to best practice within the industry.

·        CASS knowledge desirable.


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