Director of Operations and Regulation


Reference ID





competitive + benefits

Contact Person

Angela Liscombe

Job description

Director of Operations and Regulation

Nottingham (Our Ref AL958)

Competitive Salary and flexible working hours will be considered (minimum of 3 days per week)

My client is seeking an experienced professional, ideally having worked in Asset Management, to be responsible for the effective and efficient running of operational and financial matters, with specific compliance responsibility within the business.

The role will support and advise the Board in managing and developing long term plans for the business which will include oversight of operational risk, development of risk mitigation strategies and responsible for countering financial crime risk.

Key Responsibilities

  • To review and assess the firms activities to assess compliance and operational risk whilst proactively leading on and building technical compliance frameworks.
  • Provide advice, guidance and support to the Board and staff on compliance, finance and operational issues.
  • Shape the firms activities to ensure compliance with all relevant FCA regulations involving the introduction of policies, systems and controls delivering training and conducting ongoing compliance monitoring and reporting.
  • Preparing and transaction of all regulatory reporting to FCA (via Gabriel and Connect systems) reporting.
  • Conduct Compliance Monitoring Program ensuring findings from monitoring are actioned in a timely manner.
  • Preparation and updating of internal ICAAP process, oversight of financial reporting.
  • Oversee complaints handling process, investigating and resolving complaints arising.
  • Responsible for the MRLO function within the business and provide guidance and expertise in relation to operational risk.
  • Build cyber risk resilience by understanding the changing developments in relation to cyber risks, IT and digital technology.

Essential Skills and Competence

  • Knowledge of industry regulations, particularly in relation to the operation of Collective Investment Schemes.
  • Demonstrate an analytical approach to operational problem solving and decision making.
  • Demonstrable experience as a key influencer at board level, with the ability for long term strategic thinking and application.
  • Ability to interpret, understand and communicate legal and regulatory rules and guidance.
  • Highly developed communication and influencing skills and an ability to converse with stakeholders at all levels.
  • At least 3 -5 years experience in a senior role, preferably with Compliance and Finance experience in an Asset Management business.
  • Strong written and verbal communication skills.
Desirable Skills and Competence
  • Degree level education (Finance, Law, Business, Mathematics).
  • CISI Investment Administration Qualification.
  • Relevant professional qualification (e.g. ICAEW, Legal qualification).

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