Head of Risk and Compliance

  • Gibraltar
  • Compliance & Legal

We are partnering exclusively with an entrepreneurial and innovative Gibraltar based investment firm, currently in the process of obtaining regulatory approval from the Gibraltar Financial Services Commission, that is focused on sustainable and ethical investment opportunities.

As Head of Risk and Compliance you’ll be instrumental in evolving and managing a best-in-class risk management framework for this niche investment firm. Reporting directly to the CEO and with primary responsibility to the Board of Directors, you’ll be responsible for ensuring adherence to all regulatory requirements as stipulated by MiFID, overseeing the risk framework and all investment risks for the firm, whilst working with internal and external parties to resolve and mitigate any escalated risks.

✔ Investment Firm ✔ International ✔ Regulated

Role ✔ Continuous management and improvement of risk policies, frameworks and procedures that define the roles, responsibilities, controls, appetite limits and tolerances to effectively manage risks. ✔ Provide independent assurance and challenge that the firm is being appropriately governed, identified, managed, measured, monitored and reported. ✔ Monitor the effectiveness of the control environment to ensure risks are managed within the risk appetite and tolerance limits set by the Board. ✔ Provide independent oversight and proactive challenge in the planning and decision-making processes. ✔ Develop a strategy and a road map for enhancing the risk function and provide sound, prudent management of it. ✔ Develop and maintain productive working relationships with all levels of management and other governance areas. ✔ Manage the relationship with the regulator and associated regulatory reporting. ✔ Responsible for the Risk Framework for Investment products under management. ✔ Define and present to the Board the correct risk appetite for investment opportunities. ✔ Define stress scenarios (liquidity and market risk, for example) for each investment. ✔ Review monthly financial risk reports received by external managers and liaise with external risk managers to resolve violations or issues. ✔ Design, develop and maintain the investment risk controls and reports (VaR, Stress Tests and/or Scenario Analysis) ✔ Review and challenge the investment process. ✔ Act as a sounding board and review and challenge of CIO team’s interpretation and application of the risk frameworks and controlling on the outcomes, especially as it relates to the new investment approval process. ✔ Chair the Risk Committee. ✔ Proactively identify upcoming regulations affecting the management company. ✔ Lead and implement the compliance framework within the business. ✔ Create, update and maintain compliance policies and procedures. ✔ Ensure a comprehensive compliance monitoring plan is in place reflecting compliance requirements. ✔ Reporting to board on risk and compliance matters and contribute to Corporate Strategy.

Skills ✔ Extensive experience with MiFID II directives essential. ✔ Experience dealing with executives and interacting at board level. ✔ Sound knowledge of financial services operations. ✔ Experience in working with financial regulators in multiple jurisdictions. ✔ Highly organized and detail oriented. ✔ Strong Corporate Governance experience. ✔ Knowledge of securities, financial markets and financial regulation. ✔ Knowledge of Islamic Finance desirable. ✔ Strong technical and analytics skills. ✔ Legal, risk or other relevant qualifications. ✔ Ability to challenge ideas, decisions, and the status quo in an effective and constructive manner. ✔ Strong knowledge of the operation of both economic and statutory risk management concepts and issues. ✔ Knowledge of the Gibraltar regulatory landscape advantageous ✔ Willingness to develop into leadership position.

Investment Firm | Gibraltar | Regulated
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