Risk and Compliance Principal

1 week ago

København, Denmark Peel Hunt Full time

About Our Company

Peel Hunt are a leading UK investment bank focused on mid-cap and growth companies that puts long-term success above short-term gain, helping good companies succeed and delivering outstanding results. We have three business areas, but we act as one Peel Hunt. Our integrated approach combines expert research and distribution, a range of investment banking services, and an execution services hub that provides liquidity to the UK capital markets.

Our European business is focused on helping investors engage with leading UK mid-cap and growth companies - from ideas generation, to engagement with company management, and access to liquidity.

The Department

The Risk and Compliance Principal provides independent oversight and advisory on risk and regulatory compliance within Peel Hunt Europe (“PH Europe”). The position reports to the CEO of PH Europe as well as the Board of PH Europe.

The role holder is responsible for advising as well as providing second line of defence monitoring, surveillance, oversight, challenge and appropriate escalation and reporting on regulatory, conduct, market, credit, liquidity and operational risks facing the firm.

Its role as an independent function includes ensuring the firm operates within the Board approved risk appetite through ongoing identification, assessment, management, monitoring and reporting of risk throughout the firm.

The role is supported by the risk and compliance functions within Peel Hunt LLP (London).

Role Responsibilities

The role is a multi-disciplinary role covering all aspects of PH Europe Risk and Compliance functions.

Risk
  • Working with the CEO and Board to agree, document and cascade the firm-wide risk appetite across all key risks faced by the firm.
  • Maintaining and developing the risk framework of the firm in line with Peel Hunt group principles, ensuring it provides a robust framework for the identification and management of all risk categories across the firm to within risk appetite.
  • Oversight of first line policies, procedures, risk registers, risk tolerances and limits, and risk reporting.
  • Promoting a positive culture of risk management throughout the firm, by promoting awareness, collaboration, and the proactive identification, assessment, management, monitoring and reporting of risks.
  • Providing an independent challenge to senior management in strategic decision making, ensuring objective decisions are taken within risk appetite and providing advice on the likely impact on the risk profile of the firm.
  • Maintaining the ongoing independence of the second line of defence control functions, ensuring a robust and informed challenge of first line risk management, through ongoing dialogue and reviews of first line systems and controls.
  • Ensuring the prompt escalation, analysis, management and resolution of any issues which are likely to have a material impact on the risk profile of the firm.
  • Providing regular reports to the Board and CEO on the risk profile of the firm and whether the firm is operating within risk appetite.
  • Undertaking regular horizon scanning, identifying emerging risks, and providing advice to the senior managers on how these can be mitigated or managed.
Compliance
  • Working with the CEO and Board, establish, implement and maintain an appropriate compliance and financial crime framework, including policies and procedures, regulatory assessments and a compliance monitoring programme.
  • Devising systems and processes to monitor and report on regulatory risks.
  • Reporting and presenting management information on key regulatory risks and issues.
  • Acting as the principal compliance contact for PH Europe.
  • Ensuring that the business meets its obligations under the money laundering requirements.
  • Oversee key interaction and reporting to the regulator.
  • Identifying forthcoming regulatory change, providing advice to senior managers how this can be managed.

Job Requirements

The role holder will be able to demonstrate the following skill set, capabilities and knowledge:

  • Strong verbal and written communication skills
  • Sound understanding of the Danish regulatory regime, with experience of management of regulators expectations as regards prudential and operational risk management, conduct risk, regulatory change projects and/or design of risk and compliance frameworks.
  • Sound understanding of risk management approaches and techniques, with experience of design and management of first line systems and controls and/or design of second line risk management frameworks.
  • Sound understanding of the role of the second line contributes to the overall effectiveness of the firm and its ability to meet strategic objectives.
  • Ability to problem solve, think critically and make informed decisions, balancing sound risk management principles with the strategic objectives of the business.
  • Ability to challenge management on exceptions, and implement control policies.
  • Strong organisational skills – keeping on top of a dynamic agenda and making sure procedures are in place and can be evidenced by an audit trail.
  • Strong technical skills for quantitative and qualitative analysis and evaluation.
  • Sound judgement and a commercially minded, pragmatic approach – the ability to weigh issues and provide considered judgements and business recommendations.
  • Ability to liaise with stakeholders at all levels and build positive relationships across the business in order to develop a regulatory and conduct focused, business aligned, pro-active function and to have the confidence to develop an authoritative stance with the business when necessary.
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