Head of Compliance

Trinnovo Group | B Corp™; Greater London; On-site; GBP 110,000 - 150,000; Full time

Job summary

Trinnovo Group | B Corp™ is seeking a Director of Risk, Compliance and MLRO to join the Executive Management Team in the UK. You will provide independent strategic and operational oversight of shaping the compliance function while maintaining a stance of authority and independence.

You will lead the Compliance Assurance programme, develop risk and financial crime frameworks, and coordinate with the CEO and BRAC to report on major risks and regulatory developments.

Qualifications

• Proven experience in risk management and compliance in a UK financial regulated mortgages business.
• Strong understanding of SMCR (Senior Manager Certification Regime).
• Experience in SMF16 or SMF17 roles is desirable.

Responsibilities

• Lead the delivery of the Compliance Assurance programme across the business.
• Develop, implement and maintain compliant risk and financial crime frameworks.
• Provide robust oversight on non-financial risks (operational, change, conduct, reputational).
• Perform horizon scanning to ensure compliance with UK regulations and legislation, including financial crime and AML.
• Provide analysis to stakeholders on major risks and exposures.
• Contribute to 2nd Line of Defence oversight, including testing and thematic reviews.
• Support the People strategy with SMCR awareness and conduct risk prevention.
• Carry out MLRO responsibilities with independence and access to resources.
• Prepare the MLRO annual report and present recommendations to BRAC and the Board.

Skills

Risk management

Compliance

Stakeholder management

SMCR

Job description

Director of Risk, Compliance & MLRO (SMF16&17)

As the Director of Risk, Compliance and MLRO you will be a member of Executive Management Team.

Providing independent strategic and operational oversight of building and shaping the compliance function.

Delivering the right strategies, tools and controls to promote a positive risk and compliance culture and associated behaviours across organisation.

Some Key Responsibilities

• Lead the delivery of the Compliance Assurance programme across the business.
• Development, implementation and maintenance of appropriate compliance, risk and financial crime frameworks
• Deliver robust oversight on non-financial risks, including operational, change, conduct and reputational risk in collaboration with the Chief Executive
• Horizon scanning, ensuring compliance with relevant UK regulations and legislation, including financial crime and Anti-Money Laundering
• Drive forward looking insight into major risks, anticipating major exposures and providing analysis to stakeholders
• Design, enhance and build out effective 2nd Line of Defence oversight
• Compliance monitoring via testing of first line quality assurance activities and Thematic Reviews
• Supporting the wider People strategy with SMCR (Senior Manager Certification Regime) and maintaining a culture which embraces awareness and prevention of conduct risk
• Carry out the responsibility of MLRO with full access to resources and information to enable a stance of authority and independence
• Compilation of the MLRO annual report and subsequent recommendations to the BRAC (Board Risk & Audit Committee)
• MLRO reporting to regulatory bodies and board/committees

Experience

• Proven experience in Risk management and Compliance in UK Financial regulated mortgages business
• Strong MCOBS experience
• Thorough understanding of SMCR (Senior Manager Certification Regime)
• Commercially minded
• Previously held an SMF16 or SMF17 role, both would desirable
• Excellent relationship and stakeholder management skills with an ability to challenge at all levels