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Head of Risk and Compliance

Glasgow , United Kingdom

Ref#: 9677249508

Date published: 9-Nov-2020

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Job Title: Head of Risk and Compliance
Reporting to: COO, Property Management
Location: Glasgow

Role Purpose:
To ensure a high standard of performance across Property Management Accounting (PMA), PM and FM business lines, by focusing on the key areas of Audit, Compliance, and Risk Management.

Key Responsibilities 
Leading a specialist team working within Property Management to deliver the following key areas:

  • Develop, implement and deliver the annual Internal Audit Programme across PM
  • Maintain the ISAE3402 Accreditation
  • Responsible for delivering any ISO and RICS Audit requirements for PM, in line with the overall CBRE ISO/ RICS Programmes
  • To work in collaboration with Business Performance leads to set a proactive site audit programme, but also to be flexible to the needs of necessary ad hoc audits around suspected/ reported (Ethics Line and third party) untoward incidents to reduce potential claims and to improve governance
  • Review business processes, procedures and internal controls in line with the agreed annual Audit Programme
  • Responsible for assisting with Client SOX testing/ own accreditation and managing due diligence compliance audits from external Clients and trustees
  • Completion of internal certification audits for headrent calculations
  • Attend regular meetings with Business and PMA Managers to review internal controls, processes and procedures, and proactively address issues, ensuring changes are implemented
  • Promote a culture that drives efficiency through streamlining of processes and procedures and ensures a strong control environment
  • Support the FCA and Group Compliance on all matters regarding regulatory and Group monitoring and reporting, the review of requirements required under new legislation or guidance (e.g. AIFM and MiFID II) and the implementation of necessary actions to ensure the Company’s continued compliance
  • Provide advice and support to the CF1/CF11 Compliance Officer and MLRO, including creating and operating necessary monitoring and reporting programmes
  • Awareness of and understanding that duties are undertaken in accordance with any code, standard or Practice Statement of the Royal Institution of Chartered Surveyors, Practice Statement being as defined in the RICS Rules of Conduct

  • To own and manage the PM UK risk register, presenting to the board and making suggestion as to risk mitigation and continued improvement
  • To create and deliver a Risk based monitoring programme for Board approval and reporting, including regular review and updates
  • Assess compliance or operational risks, report on these, and develop risk management strategies as needed
  • Serve as an alternative, confidential point of contact for employees to communicate perceived serious process irregularities, such as fraud
  • Handle corporate governance involving external risk reporting to stakeholders or clients
  • To be the single point of contact for all complaints and to work closely in their management with the CBRE corporate Compliance Director and ED special project lead to ensure that full investigation, management and close-out happens to agreed timeframes
  • To hold the register for AML checks on PM Clients and to ensure that the checks are completed in accordance with CBRE guidelines and timeframes by those responsible
  • Maintain IA policy documents and regular communication with PM on perceived risk
  • Liaising with UK Compliance and Global audit teams as required
  • People Management
  • Responsible for all aspects of staff management within your team, including but not limited to recruitment, induction, setting objectives, appraisals, team meetings, training, compliance, performance management and staffing levels

Person Specification/Requirements
  • Professional accounting qualification (e.g. CA, ACCA or CIMA) desirable, or qualification by experience
  • An understanding of ISAE3402 compliance in a service organization
  • Ability to quickly build up a sound knowledge of the property management sector is essential – particularly around RICS obligations
  • Possession of sound regulatory knowledge and experience of regulatory compliance within the Real Estate investment management sector and of interacting effectively with heads of businesses
  • Significant compliance experience in asset management
  • Sound working knowledge of FCA rules and their application to Real Estate Investment management
  • Understanding of the operation and management of Unregulated Collective Investment Schemes
  • Understanding of the impact of the EU Directive for Alternative Investment Fund Managers (desirable)
  • Proven track record of strong change management and general management skills
  • Ability to interact effectively with senior management and be comfortable reporting at board level
  • Excellent written and verbal communication skills. Able to effectively present information
  • Capable of designing effective solutions to complex problems
  • Good analytical and problem solving skills with attention to detail producing accurate results

CBRE is an equal opportunities employer and does not discriminate on the grounds of gender, sexual orientation, marital or civil partner status, pregnancy or maternity, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.