Key Responsibilities

Risk & Governance

• Design, implement, and maintain the firm’s enterprise risk management framework.

• Own and update the risk register, conduct risk assessments, and scenario testing.

• Advise the Board on current and emerging regulatory and operational risks.

• Support the Board in meeting governance, oversight, and conduct obligations.

Regulatory & Compliance Oversight

• Provide senior oversight of Compliance and ALMRO activities.

• Ensure ongoing compliance with Financial Conduct Authority rules, principles, and guidance.

• Oversee policies and procedures covering AML, financial crime, client money, complaints, and data protection.

• Act as a key point of contact for regulators, auditors, and external consultants.

Financial Crime & AML

• Oversee AML framework, risk assessments, and suspicious activity processes.

• Ensure effective monitoring of client onboarding, KYC, and ongoing due diligence.

• Provide challenge and sign-off on high-risk client cases.

Board & Senior Management Support

• Produce clear board papers, MI, and risk dashboards.

• Provide practical, commercial guidance to directors and senior management.

• Support SMF holders with regulatory responsibilities and documentation.

Continuous Improvement

• Identify gaps in controls and implement proportionate improvements.

• Keep the firm ahead of regulatory change through horizon scanning and impact analysis.

• Mentor junior compliance or risk staff where appropriate.