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Working at Square Mile

At Square Mile, we aim to build a business that our people believe in by investing in experienced, qualified and professional individuals who are passionate about what they do. Together, we are committed to helping investors build a better a better future.

Head of Risk and Compliance

28 Apr, 2022 | Return|

About the Role

We are looking for a Head of Risk and Compliance to support the Operations Director. It is not proposed initially this is a SMF 16 and 17 role, but over time we do see this role developing into taking on these responsibilities. This role is a great opportunity for an existing Compliance Officer looking for the next step in their career and may appeal to a candidate at a larger firm looking to move to a smaller business to broaden their day-to-day duties in a very hands-on role.

About You

You are ambitious, willing to learn, and comfortable to work inside a growing company which moves quickly. You have high standards, values and principles that demand the best from yourself and your colleagues, ensuring we deliver services our clients value, in a professional, supportive, and compliant environment.

About Square Mile

Square Mile is a specialist research, consulting, and investment management business, operating in the UK only with Professional clients, and regulated by the FCA as a non-SNI Firm with Permanent Minimum Capital Requirements of £75,000.

We have a strong compliance and risk management culture in the business sponsored by the management team and supported by external compliance advisers. We wish to retain the external compliance advisers to support the successful candidate but also to help their development and growth.

Key Responsibilities

  • Framework – manage and develop the Square Mile Framework of Policies, Procedures, Systems and Controls ensuring these remain in line with regulatory requirements, risk appetite.

  • Compliance Monitoring – manage and develop the Compliance Monitoring Programme and liaise with the external compliance consultants in overseeing its execution, managing any identified actions to conclusion.  

  • Risk Management – manage, coordinate, monitor, report and develop the Square Mile Risk Management framework and related processes, ensuring the identification, recording and effective management of risks across the business.

  • Regulatory Compliance – review client reporting, presentations and factsheets before use or publication.

  • Regulatory Environment – ensuring Square Mile’s ongoing compliance with current legislation and regulation, and new legislation and regulation as and when it becomes relevant.

  • Regulatory Reporting – ensuring all regulatory reporting is accurate, complete, and submitted promptly.

  • Internal Governance – produce regular Compliance Reports and represent the Compliance at Senior Management Meetings.

  • Business Continuity Plans - co-ordinate the regular maintenance, updating and testing of the BCP.

  • Day to Day Interaction - work closely with the Research and Consulting, Investment management, Marketing, Distribution, and Operations teams and be the single point of contact for the day-to-day implementation and execution of the Compliance program.

  • Training – ensure all staff receive relevant and regular training and provide guidance and advice on regulatory matters across the business.

Skills and Experience:

To succeed in this role, you will need:

  • A complete understanding of our compliance requirements and how to ensure they are adhered to.

  • A degree or equivalent experience.

  • Three years plus of relevant experience where you have been responsible for compliance and risk management.

  • Ability to work and support teams across the business as necessary, establishing best-practices.

  • Experience within a financial services environment, ideally wealth or investment management.

  • To be responsible for a high standard of work supporting the delivery of deadlines on time and to agreed quality standards.

  • Strong communication skills, written and verbal with the ability to prepare professional briefs, summaries and reports.

  • Ability to convert complex legislation or information into plain language.

  • Ability to work autonomously, as part of a team and in co-ordination with other business areas.

Apply now

If you think this sounds like you and would be interested in applying, please contact Lisa Juniper with your CV: lisa.juniper@squaremileresearch.com.


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