Head of Risk and Compliance - Luxembourg Region
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OCORIAN Ocorian is an independent award winning alternative investment, corporate and private client administrator, recognised for our commercial expertise and dynamic culture that supports investment success for our clients.

Purpose of the job To provide executive leadership of the Risk and Compliance function in support of executive management across the Region whilst also acting as the Group Data Privacy Officer.

Ensure regional functions are appropriately structured and resourced to deliver their core roles and have access to executive management when required.

Support and advise the CRO in forming a view on the nature and level of risks across the Region.

Maintain an Enterprise Risk Management ("ERM") framework across the Region capable of supporting the developing needs of the business and maintaining the operating structure of risk monitoring and reporting throughout the Region.

Ensure that all key risks are measured and monitored appropriately, and are reported to Senior Management and Boards within the Region and its subsidiaries to meet all regulatory and commercial expectations.

Provide an independent’ view from the owners of the risks across the region.

Main responsibilities Provide executive leadership to the Risk and Compliance functions so that they are considered to be Best in Class’ within the Industry.

Sponsor the development of ERM so that it meets the requirements of ExCo and Boards as well as regulators and stakeholders.

Ensure consistent and accurate reports are produced for the relevant operating Boards.

Identification of key areas of emerging and or developing risk and reporting this to the CRO and Boards as necessary.

Provide oversight of Compliance activities and ensure a framework is in place to ensure compliance with relevant regulatory requirements.

Alignment of key risk management objectives between divisions.

Strategic Change Advise and challenge senior executives on the risk factors associated with significant acquisitions and divestment activities.

Provide output on the expenditure and return impact of the activity.

Advise on risks related to new initiatives / services, major changes of strategy and other major changes.

Advise on the potential impact on the group strategy of new and emerging risk.

Risk Governance Maintain governance and reporting systems for Senior Management and operational Boards on the status of risk compared to risk appetite, highlighting any material new risks, concerns or vulnerabilities.

Advise the CRO where work and insights suggest there is any doubt over the Group’s risk standards being upheld.

Also, advise the CRO where any risk is not clearly owned by a Senior Executive.

Sponsor increasing the awareness and engagement with the ERM framework.

Ensure that risk appetite for the business is documented, understood and appropriately allocated within the division.

Ensure that risk policies are clearly communicated and understood by all relevant employees.

Contribute to the periodic review of the effectiveness of the Group’s risk management framework to ensure its remains appropriate to the changing needs of the Group.

Prepare and maintain analysis of status of compliance with risk policies and report status to Senior Management and operating boards as appropriate.

Advise the CRO and Senior Management where risks are in danger of exceeding tolerances or have done so.

Risk Assessment Ensure that risk assessment and measurement is conducted to assist the business to optimise returns and to provide comfort to Senior Management and relevant Boards.

Manage and report a set of key risk indicators KRIs .

Develop a range of risk assessment, measurement and monitoring processes to support the requirements of the region in developing and embedding its risk management framework.

Assist with the development and monitoring of the Group Risk management database.

Group Compliance Ensure that all relevant areas are informed, in a timely manner, of changes to law which affects any regulatory requirements.

Ensure adequate arrangements are put in place to address any new regulatory requirements.

Be responsible for ensuring that the Regional offices are adequately reviewed and monitored so that their compliance with legal and regulatory requirements is confirmed.

Lead and manage a training and awareness programme to develop the culture towards agreed measures.

Review whether adequate compliance training is available to employees across the Region.

Ensure that compliance breaches are reported to Senior Management and the relevant operating boards in a timely manner and that remedial action is taken where necessary.

Ensure that the Region and Group is capable of satisfying regulatory information needs in a timely manner.

Ensure that specific regulatory issues are adequately tracked and followed up.

Ensure that the Compliance Monitoring Plan delivers insight into trend and root cause information.

Maintain policies and procedures to assist with the control environment.

Encourage the Divisions to develop practical operating procedures.

Undertake adhoc investigations into client or staff situations.

Monitor the effectiveness of the CO and MLRO.

  • Group Data Privacy Officer responsibilities Inform and advise the Group and our employees about our obligations to comply with the GDPR and other data protection laws;
  • Monitor compliance with the GDPR and other data protection laws, and with your data protection polices, including managing internal data protection activities;
  • raising awareness of data protection issues, training staff and conducting internal audits; Advise on, and to monitor, data protection impact assessments;
  • Cooperate with the supervisory authority; Act as the first point of contact for supervisory authorities and for individuals whose data is processed (employees, customers etc);
  • Train, educate and support the Data Privacy Champions; and Review and maintain contracting terms with our clients and suppliers to ensure compliance with GDPR and other data protection laws.

    Qualifications Should possess a relevant professional qualification with risk, compliance or data protection.

    To meet the approved person regime in accordance with local regulatory requirements.

    Knowledge / skills / experience Significant risk management experience and knowledge, working at a senior level.

    As a result of study and experience possess a comprehensive understanding and knowledge of regulatory compliance with Luxembourg and Amsterdam.

    Competencies Inspirational and motivational leader with strong people management skills and the desire to encourage the development and retention of key talent.

    Excellent interpersonal skills and the ability to communicate effectively with clients and colleagues at all levels.

    Ability to work under pressure and meet deadlines whilst efficiently prioritising resources.

    A proactive and solution driven attitude to managing problems and driving change.

    Ability to work using own initiative and make decisions within strict corporate policies and procedures.

    Strong presentation skills.

    Proven background of developing commercial solutions to risk, compliance amd data challenges.

    The post holder will be expected to Instill Ocorian's core values across the business : O pportunity C lient Focused O wnership R eliable I ntellect A ccomplished N imble Be committed to continuing professional education.

    Undertake business trips as and when required.

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