Director of Compliance and Risk Management
We have an exciting opportunity for someone to join one of our clients as the Director of Compliance and Risk with the task of build an overarching Compliance and Risk program for a fast-growing company, this role will sit at group level and oversee their UK industry leading brands/businesses. The role has come about because of the fast growth of the group within the UK market.
Operating through three distinct brands, our client is a leader in the UK residential real estate industry delivering property management, residential sales and lettings, real estate solutions and related professional consultancy services. It is ambitious in its plans for growth and has been expanding rapidly in recent years by focusing on existing organic momentum and acquisitions, in a heavily fragmented market. Backed by private equity, the business is also part of the leading residential real estate services group in Europe.
Job Description
Our client is seeking a Director of Compliance and Risk Management. Reporting to the General Counsel, this person will act as the lead for the UK Group responsible for establishing, maintaining, and improving a robust compliance program. They will work directly and collaboratively with the General Counsel, senior management and representatives of each operating brand.
Responsibilities
* Reviews key processes and procedures in place across the UK group and the three business divisions, subsequently designing an overarching compliance program, driving implementation as necessary and appropriate for each of the divisions.
* Develops, maintains, and monitors a wide range of policies and procedures for the operation of an effective compliance program, to prevent illegal, unethical, or improper conduct.
* Advises on risk management, compliance and governance frameworks to ensure compliance with relevant laws, regulations and best practice, as well as the company’s policies, procedures and business goals.
* Provides insights and guidance on regulatory compliance and ethical standards and oversees maintenance of various risk registers, including relating to anti-financial crime.
* Plays leading role in newly established cross-division regulatory affairs group, helping to shape the business’ response to legislative developments.
* Maintains and expands an effective compliance communication and training program for the organization to promote awareness and understanding of relevant obligations and fosters a culture of compliance through ongoing education and awareness initiatives.
* Designs, implements and evaluates compliance-related processes, business applications, Learning Management Systems (LMS), and data management tools that are effective, scalable and suitable for a high growth company.
* Manages day-to-day operation of the compliance program, including the retention of external vendors and advisors, as necessary. Provides reports on a regular basis to keep the General Counsel and senior management informed of the operation and progress of compliance activities.
* Collaborates with legal counsels and dedicated service line compliance professionals to review and provide practical guidance on compliance issues, including avenues for resolution. Consults with outside counsel as needed to resolve complex compliance issues.
* Conducts periodic impact assessments to identify potential areas of compliance vulnerability and risk. Develops corrective action plans for resolution of problematic issues.
* Responds to alleged violations of rules, regulations, and policies, and conducts appropriate investigations to assess and resolve any non-compliance.
* Ultimately takes responsibility for compliance related roles required by applicable regulations, including MLRO and DPO.
Experience and Skills
* This is a senior role, requiring a seasoned professional with significant years of experience leading transformational projects and implementing compliance frameworks.
* May be a qualified lawyer, but other appropriate professional qualifications will be considered.
* Experience in the real estate industry, particularly the residential sector, or the construction industry is an advantage, but not essential.
* Experience advising on and resolving Anti-Financial Crime (e.g. AML, KYC, Fraud) and Data Privacy matters is essential.
* Familiarity with current and upcoming UK legislative developments impacting the residential real estate sector would be advantageous.
* Strong interpersonal skills, team player, business oriented, ability to think strategically and establish a “trusted advisor/partner” relationship with internal clients.
* Consistent delivery on commitments, great organizational skills, resourceful, results-oriented leader with exceptional follow through and attention to detail.
* Ability to distil complex issues into simple solutions.
* Great technical skills and understanding of IT systems with direct experience implementing compliance tools to effectively scale a compliance program.
* Creative and pragmatic thinker, responsive and proactive.
* Ability to work independently with minimal supervision, motivated self-starter.