Group Head of Compliance
The Group Head of Compliance serves on the Group Compliance and FCR team, the primary responsibility is to help the Chief Compliance Officer oversee and manage compliance within the organisation, ensuring that Sanne and its employees are complying with both regulatory requirements and with internal policies and procedures.
The role holder will be responsible for assisting the Chief Compliance Officer in providing overall leadership, vision and direction for the Group function which will include the development of a strategic plan for Regulatory Risk and Compliance and implementation of policies and procedures, systems and controls, risk assessment, training and monitoring programmes to support this.
- Assist with liaison with Financial Services Regulators at a strategic level;
- Assist with planning, designing and implementation of an overall regulatory and compliance risk management framework for the Company;
- Maintaining current knowledge of laws and regulations, keep up to date with all changes and overseeing implementation of any changes into Sanne;
- Assist with the evaluation and impact of regulatory and compliance risks, achieved through the establishment of methodology to compare risks with criteria established by the Company be it financial, legal and/or environmental factors, capturing continuous improvement from prior exposures and underpin with and own the appropriate treatment plans (acceptance, mitigation and avoidance);
- Develop and maintain a compliance assurance regime and support the business in developing relevant mitigating controls;
- Work closely with Senior Management and the Board to ensure all strategic challenges are recognised and that the framework and appetites established remain agile, appropriate and encompass the evolving profile;
- Provide regulatory and compliance input and support to the Board on business acquisition and divestments and lead all relevant work streams in such activities;
- Provide support to the Company's Compliance Officers and other key person functions such as MLRO and MLCO;
- Develop, co-ordinate and participate in an educational and training program that focuses on all elements of compliance and seeks to ensure that all appropriate employees and management understand and comply with jurisdictional regulations;
- Assist with the provision of regular reports and key metrics to the Board and Divisional Heads so that they have line of sight and understanding of the most significant risks within their area.
Skills, experience and behaviours required
- Vision and Leadership;
- Strategic Thinking and Innovation;
- Transformational Change;
- Influencing and Engaging Others;
- High Quality Client Service;
- Risk aware decision making;
- Demonstrate high levels of integrity;
- Highly developed communication and influencing skills with the ability to engage and build relationships across the organisation and externally;
- Be recognised as a senior leader with proven track record of assisting the business to effectively manage all types of regulatory risk;
- Have knowledge of multijurisdictional financial services and regulatory context with the experience of best practice risk and governance frameworks, methodologies and emerging practice. Demonstrate subject matter expertise in the markets that Sanne operates;
- Professionally qualified;
- At least 10 years' experience in senior regulatory/compliance roles;
- Able to inspire trust and confidence and to promote a strong culture of honesty, trust and openness.
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