General Counsel and Head of Compliance
London /Eton / Toronto / New York
Overview
Validus Risk Management is an independent technology-enabled advisory firm specialising in the management of FX, interest rate and other market risks. We work with institutional investors, fund managers and portfolio companies to design and implement strategies to measure, manage and monitor financial market risk, using a market-tested combination of specialist consulting services, trade execution and innovative risk technology.
We are looking for confident, analytical, and forward-thinking individual to work alongside our leadership team to enhance the businesses performance by providing all necessary legal and compliance. This role will be reporting directly to the CEO and managing a team of one. This is a great opportunity for an individual looking to join a fast-paced growing organisation
Responsibilities include:
To manage the global legal and regulatory requirements of the company arising from the rules of the FCA/NFA/AMF and other regulators as necessary.
To oversee the risk and compliance plan to ensure it is managed in accordance with the company objectives and to provide legal and compliance support, guidance, and advice across the business as needed.
To develop, monitor and maintain adequate and appropriate systems and controls to ensure that the firm meets its legal and regulatory requirements globally.
This role will report directly to the CEO as well as include reporting to the Audit and Risk Committee driving the compliance agenda.
This role will report directly to the CEO as well as include reporting to the Audit and Risk Committee driving the compliance agenda.
Oversight and responsibility of KYC process for client onboarding.
Streamline and keep up to date a compliance manual and compliance calendar to ensure that the group is meeting its regulatory obligations.
Represent the company to auditors, suppliers, and regulatory bodies.
To coordinate the group's legal requirements as required and to review legal contracts and business agreements where needed.
Oversight of HR contracts, policies, Handbooks, sales contracts, NDA’s.
Oversight of equity documentation, board resolutions, and entity set up.
Entity set up and oversight of any litigation instances.
Set up and oversight of IP protections.
To over-see and manage the Compliance function for our geographies.
To be the Group Data Protection Officer and ensure ongoing compliance with the GDPR.
Driving training and education of compliance throughout the business.
Qualifications:
7+ years Legal and compliance experience and with working within a financially regulated business.
Legal qualification or degree.
Comfortable speaking with clients, external counsel, and regulators.
Exposure to the financial industry or Fintech.
Strong participation and formalisation of business of contractual arrangements and business negotiations.
Benefits
Learning and developement allowance
Equity Scheme
Employee Assistance Program
Retirement Plan
Employee events
Health insurance