Job Application Form

Head of Risk and Compliance, UK

Employment Type

Full Time, Permanent

Application Start Date

22-04-2024

Application End Date

22-06-2024

Location

UK

State/County

-

Zip Code

-

Country

-

Work Style

Remote

Industry

Category

Position

Experience

-

Education

-

Description

About us 

We are a rapidly growing fintech, that is transforming private capital markets. With deep regulatory knowledge and cutting-edge technology, we have enabled frictionless asset creation and transferability. We are driving the digitisation of all assets. 

 

Globacap provides a white-label private markets software-as-a-service solution to capital markets intermediaries, exchanges, and asset managers. Our multi-asset platform provides users with a holistic, efficient solution to manage their business across private placements, register management and secondary transferability.   

 

Our technology is already being used by some of the largest institutions in the world, such as the Johannesburg Stock Exchange and Nomura/Instinet.  


The role 

 

We’re looking for a talented Head of Risk and Compliance to join our team to build on great foundations to develop the Risk and Compliance function within Globacap and support the company in its mission to unlock capital market’s true potential. 

 

As a regulated business, compliance is not only mandated by our regulatory bodies, it is also key to our success. We are currently regulated by the FCA in the UK, however we are seeking additional regulatory authorisation in other markets including the EU and North America. 

 

You will provide leadership and guidance to the wider business to ensure we manage our growth safely, remaining compliant with our regulatory and internal standards. You will identify opportunities for improvement in the business and work with the business to reduce and manage risks effectively, identify opportunities for improvement.  

 

Remote working supported. UK based, travel to London will be required, 

Your responsibilities 

 

  • Develop the risk and compliance function and lead the company’s regulatory strategy ensuring its alignment with the commercial strategy and product roadmap  

  • Embed an effective risk management framework to support sustainable growth of our business.  

  • Act as a strategic advisor to our Executive and Senior Management for growth and expansion 

  • Develop, manage and implement policies and procedures for regulatory compliance 

  • Ensure our products are developed with a complete understanding of the regulatory implications and the company systems and processes meet the relevant quality and regulatory standards 

  • Ensure adherence to regulatory requirements and reporting obligations and advise the business across all regulatory and compliance matters 

  • Monitor new legislation, guidance, consultations and cases that impact financial regulation 

  • Perform checks and report on risks arising from and compliance of our internal business processes, to provide assurance to clients and support external quality standards (for example, ISO27001); and ensure our key suppliers are complying with agreed standards and contract terms 

  • Promote a sustainable culture of risk awareness in the business that is consistent with Globacap’s core values 

 

You 

Our ideal candidate is a highly motivated and energetic Risk and Compliance Leader looking to join a thriving business and play a critical role in the evolution of private capital markets.    

You'll have strong commercial awareness and analytical skills to demonstrate a strategic approach to risk management and drive compliance and change by challenging the status quo. You will be able to build strong relationships with stakeholders and be able to influence effectively by taking complex information and communicate it in a simplified and relevant manner to the business to ensure effective understanding and implementation.  

  • Experience working in and deep understanding of Capital Markets  
  • Demonstrable experience within a regulatory environment including a sound understanding of the FCA’s Senior Managers and Certification Regime 
  • Detailed up to date knowledge and understanding of financial regulations and challenges that impact and affect the capital markets industry including incoming legislative consultations and proposals 
  • Experience of practical application of relevant financial regulatory frameworks including but not limited to the FCA Handbook (COBS and CASS), MIFID II, Financial Crime legislation and of regulations for ICAAP/ICARA.
  • Demonstrable experience in building and overseeing an operational risk framework across a technology business
  • Excellent verbal and written communication skills with the ability to confidently engage with and influence a variety of stakeholders at differing levels across the business 

Desirable skills and experience 

  • Experience working in a fintech or start-up environment 
  • Understanding of the regulatory landscape in our target markets, e.g. North America, Switzerland and the EU, regulatory environment  
  • A grasp of Blockchain and Tokenisation  

 

What we can offer you 

  • Share options in a rapidly growing fintech that is starting to scale  
  • Unlimited holidays  
  • Flexible and remote working   
  • Private Medical Insurance with Vitality including discounted gym membership and Vitality Rewards schemes 
  • Company pension

Personal Information

Professional Information

Head of Risk and Compliance

Globacap Standard

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