Principal - Risk and Compliance

The Enforcement Conduct Board

Remote

  • Location Remote
  • Sector Regulation & Professional Standards
  • Client The Enforcement Conduct Board
  • Job Type Permanent
  • Salary/Remuneration £75,000
  • Reference GSe117959
  • Closing Date Tuesday 18 February 2025

The Role

This is a new role with responsibility for designing and leading the ECB’s oversight regime. Building from the ECB’s new standards for the enforcement industry, the risk and compliance principal is a critical role in the ECB, bringing together multiple sources of information to develop our risk assessment of each firm and develop an approach to supervision and oversight that enables the ECB to effectively deliver on its mission.

This is a remote working role which requires someone who is able to work independently, drive forward an agenda and deliver. The ECB is a small organisation so it also requires someone who is comfortable working in a small, ‘start up’ environment where there will be a need to work flexibly, picking up tasks outside of those specified here when required.

Role Duties

Designing a supervision framework for the ECB including:

  • overseeing the initial implementation of the ECB’s standards, supporting firms to self-assess against them
  • designing an approach to pooling intelligence and using that information to generate a risk assessment of each firm we oversee
  • working collaboratively with stakeholders to develop a policy for the ECB’s approach to oversight visits
  • developing an approach to ensure learning and good practice in industry
  • generated through the ECB’s work is shared with and embedded within the firms we oversee
  • Leading oversight visits with firms on behalf of the ECB
  • Using data and intelligence to inform areas where improvement across industry
  • may be required and designing mechanisms of delivering this through our oversight
  • Carrying out investigations into reports of standards breaches
  • Developing and overseeing improvement plans for firms who are not meeting our standards
  • Building constructive relationships with firms that support developing a robust and effective oversight framework

Essential Skills and Experience:

  • Experience designing and leading audits, supervision exercises and/or investigations on a large (cross-organisation or sector scale)
  • Ability to design and draft impactful operational policies and oversee their successful implementation
  • Ability to build and maintain strong relationships under challenging circumstances including being comfortable having robust, difficult conversations and managing conflicting opinions
  • Experience synthesising evidence from multiple sources and using this to inform a programme of work

Desirable Attributes:

  • Previous experience in a role that had some element of auditing performance against policies
  • Experience working for an oversight or regulatory body
  • Experience of working in the enforcement industry
  • Experience designing and running evidence-based compliance/monitoring schemes

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Contacts

Rosanne Sarratt: 07827 201500

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