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Head of Risk & Compliance

Brodard Executive Search Geneva, Switzerland
Posted 4 days ago Permanent Competitive
On behalf of our client, a growing financial company based in Geneva, we are looking for a Head of Risk & Compliance.

Your main responsibilities will be the following :

  • Help the company by maintaining and building a sustainable risk and compliance framework that places regulatory and compliance best practice standards, and a culture of appropriate conduct at the forefront of the company agenda.
  • As an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the company.
  • Proactively support and challenge the company businesses and functions to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fair outcome for the company clients.
  • Evaluate the effectiveness of the company risk & compliance efforts.
  • Support the management of the regulatory relationships with the regulator, whose rules' company is subject to.
  • Overall leadership and functional support for all members of Business teams.
  • Insofar as they relate to regulatory compliance, be responsible for proving details of developments giving to a material risk that serious regulatory breaches or breaches of risk tolerances (as agreed by the Board from time to time) may occur and notifying any such breaches to Management.
  • Maintain independence, deliver timely responses, and timely escalation of risks and issues where they feel risk management tolerance of the company is exceeded.

Risk Management

  • Support the company businesses as Risk Owner under the company framework for business processes where Risk and Compliance is the second Risk Owner.
  • In collaboration with relevant senior managers, support a program for compliance monitoring, surveillance and assurance.
  • Ensure effective management of risk and compliance matters.
  • In the event of serious regulatory breaches, or where risk tolerances have been breached, support the process to ensure the company management and relevant regulators are informed and that actions are taken quickly to remediate and/or activities are ceased. Support the proactive and timely identification, assessment, advice and dissemination of evolving regulatory changes/practices and associated risks, and proactive engagement in regulatory reform.

Governance

  • Within the company overall Risk Management Framework, establish and maintain appropriate risk based compliance frameworks for identifying, assessing, managing, monitoring, mitigating and reporting compliance (including regulatory and financial crime) risks across Private Banking.
  • Develop and recommend appropriate compliance policies and procedures.
  • Support processes to ensure appropriate product governance measures are in place so that product reflect all relevant regulatory requirements.

Key Stakeholders

  • FINMA and other potential foreign regulators.
  • Senior Business Management.
  • Internal and External Audit.

 

Only short-listed candidates will be contacted. Thank you for your understanding.

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