Brunel Pension Partnership Limited (Brunel) is seeking a Head of Conduct Risk (HoCR), reporting to the Chief Compliance and Risk Officer, to implement and deliver the business’s compliance and risk management framework.
The successful applicant will be a good compliance and risk generalist with experience within an FCA-regulated firm. The role will be responsible for the design, delivery and for managing and overseeing Brunel’s compliance and risk strategy.
The deadline for applications is Friday 18 January 2019.
The role will be based in our Bristol offices, with travel to London and occasional European travel.
- Maintain working knowledge of relevant regulatory requirements, specifically FCA handbook obligations, that impact Brunel and to which Brunel must meet.
- Provision of compliance advice to the business as required.
- Facilitate the CCRO’s oversight of Brunel’s services and operations by setting up the framework to gather and prepare information and data pertaining to Brunel’s activities including but not limited to conduct risk activities, product governance, compliance guidelines monitoring, investment risk oversight (suitability).
- Provision of support to the risk management and control frameworks with reference to relevant best practice, legal and regulatory standards.
- Support of Brunel’s Compliance Monitoring Programme by:
- Design and delivery of the programme;
- Compliance guidelines monitoring;
- Implementation, oversight and challenge of the 1st line of defence’s management of risks via the Risk and Control Assessment Programme; and
- Following up on remedial actions associated with risk events/breaches.
- Responsible for facilitating amendments and reviews of certain compliance and risk policies and procedural documentation, ensuring Brunel is continually meeting its high business standards and regulatory obligations.
- Provision of support for identification, reporting and prioritisation of regulatory risks through active “horizon-scanning”, internal assessments and oversight.
- Responsible for supporting regulatory changes and supporting the relevant implementation activities to ensure Brunel’s ongoing compliance including training.
- Oversight, challenge and management of risk events, including adequate documentation, ensuring lessons learned are embedded into the 1st line of defence process improvements on an ongoing basis.
- Due diligence of investment managers and key outsourced service providers.
- Construction of compliance and risk reporting for Risk Committee and Board.
- Other risk and compliance activities as required to ensure effective running of the function.
- Build good working relationship with the compliance and risk staff within other pools to share best practice.
Required skills and experience
- Can, and will, embrace and protect Brunel’s values and culture.
- Recent relevant experience within a Compliance and / or Risk role, within an FCA-regulated Investment Manager.
- Holds working knowledge of regulatory requirements within the UK Financial Services markets.
- Has an understanding of risk management concepts and prevention measures relevant to an Investment Manager.
- Has working knowledge of an Investment Manager’s regulatory and legal responsibilities and obligations.
- Has experience of utilising and maximising the use of business applications.
- Is detail-oriented and considered a “completer-finisher”, is pragmatic and works with a high degree of common sense.
- Embracer of diversity.
- The ability to challenge effectively across all levels of the firm.
- Good communication and report writing skills.
- Ability to mentor and coach wider Brunel team members.
- Acts with integrity and a degree of pragmatism when circumstances require, but tenacity to challenge when required.
Brunel Pension Partnership is authorised and regulated by the Financial Conduct authority as a full-service MiFID firm. We are responsible for c. £30bn of assets of our 10 Local Government Pensions Scheme (LGPS) funds, who are our shareholders. We are seeking to combine the professionalism and best practice of a leading investment firm with the long-term perspective of a responsible asset owner.
In the first instance, please email your CV and cover letter to [email protected] by 5pm GMT on Friday 18 January 2019.
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