Brief for the position of: Director of Governance and Compliance

Candidate brief

Your application

Thank you very much for your interest in this post. On the following pages, you will find details of the role and the selection process to assist you in completing and tailoring your application.

In order to apply you should submit:

• An up-to-date CV which shows your full career history – we recommend that this is no longer than three pages;

• A supporting statement explaining why you are interested in this role, detailing how you are a good candidate for this post and how you fulfil the person specification – we recommend that this is no longer than three pages;

• The declaration form – but completion of the equalities section is not mandatory, this is requested for monitoring purposes in line with our commitment to equality and diversity; and

• Indicate on the declaration form if you cannot attend any of the interview dates.

Please note: applications can only be considered if all the documentation is complete.

Please ensure that we receive your application in good time. If you do not receive confirmation of receipt within 24 hours of sending, please call us on 020 3434 0990. To help avoid your submission being treated as spam, please use a secure email address from which to send your application, and refer to the role and organisation in the header.

Do call me if you wish to have an informal discussion about the role and organisation, or if you have any other questions to help you decide whether to apply.

Denise KirkhamSenior Associate Consultant

07833 475669

Your application must be received by Friday 1 March at 12 noon.

Please send your application, preferably in MS Word format by email to:

moathomes@campbelltickell.com

Moat candidate brief 2

Welcome to Moat Homes

About Moat Homes

Our team

Board Members

Role Profile

Person specification

Governance and leadership structure

Key terms and conditions

Key dates and the selection process

Media advertisement

Contents

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Welcome to Moat Homes

Moat is one of the top 20 housing associations with 20,000 homes across Kent, Essex, Sussex and London and a pipeline of 1600 new affordable homes. In addition to our head office, we have bases in our communities in the Medway, Ashford, Maldon, Horsham and Pollards Hill in London.

In an increasingly complex world, housing associations have to be responsive to a changing environment and find the right balance between social purpose and commercial reality. We also need to ensure that we have a robust governance and compliance culture running through our organisation to ensure that we keep pace with (and preferably anticipate) best practice.

Here at Moat, we have a structure that enables us to make decisions swiftly and a strong and supportive Board who hold us to account. Financially, we are strong which enables us to have a large affordable housing development programme and we have reorganised our customer facing offer to make it clearer, more easily accessible to our residents and more consistent in its delivery.

Until the end of last year, we had in our organisation a senior role which combined our corporate finance, governance and risk functions. Whilst we feel that our governance and compliance is generally strong, it is an area that has become increasingly challenging, reflected by our recent governance regrade by the Regulator in relation to a specific issue. This has highlighted to us that we needed to put more emphasis on governance and compliance, both in terms of keeping up to date with regulation and also monitoring our wider compliance to support the Board’s co-regulatory function. We have therefore created this new role to

recognise the importance of governance, compliance and risk and we are looking for a strong individual who can make this role their own.

To succeed in this role, a wider strategic awareness and strong influencing skills are important. Whilst we want an expert who can build on the good work we are already doing, we would like you to be a leader in terms of our business overall and add real value by working with others to ensure the best outcome for Moat and its customers.

Moat is a great place to work. We have high levels of employee and customer satisfaction, a strong development pipeline, a clear strategy and the resources to deliver it. But we are also a learning organisation and a motivated and committed team which recognises that new recruits at a senior level bring new thinking and a refreshed perspective.

We look forward to welcoming the right candidate whose experience and vision will complement, challenge and inspire our team.

Thank you for your interest in joining the team here at Moat.

Moat candidate brief 4

Elizabeth AusterberryChief Executive

About MoatHomes

We are incredibly proud to be:• An experienced and compassionate landlord in our

communities• Dedicated to building strong relationships with the

local authorities in the areas we work in• One of the Homes England delivery partners,

developing around 600 new homes every year• Financially strong, allowing us to deliver excellent

services to our customers and build new homes• An expert in providing shared ownership• An employer of 350+ members of expert and

passionate staff.

What we doFor the last fifty years we have sought to help people in housing need to have somewhere they can call home and be proud of.

Our visionOur vision is simple, it’s to end housing need. We are dedicated to being a supportive and reliable landlord; providing fantastic services to our customers, investing in the communities we work in and continuing to build new homes to help combat the housing crisis.

Our valuesBy living our values we deliver continually high service levels to our customers, whether they are residents, stakeholders or partners:• Do the right thing• One step ahead

• Making it happen together• Easy to communicate with• Fairness in everything we do• Ambitious for our customers, ambitious for

ourselves

Valuing equality and diversityWe value diversity and are committed to promoting equality and to tackling all forms of discrimination through our role both as a landlord, service provider and an employer. We do not discriminate against age, disability, gender reassignment, marriage or civil partnership, pregnancy and maternity, religion or belief, race (ethnicity, colour and national original), sex and sexual orientation.

How are we governed?The Board has adopted the UK Corporate Governance Code which sets standards of good practice in relation to board leadership, effectiveness, remuneration and accountability. The majority of our Board members are independent non-executives. We are regulated by the Regulator of Social Housing and the government department currently responsible for overseeing the social housing sector is the Ministry of Housing, Communities and Local Government (MHCLG).

We are a leading housing association, owning and managing over 20,000 homes in the South East.

Moat candidate brief 5

Our team

Elizabeth Austerberry Chief ExecutiveElizabeth was appointed at the beginning of 2013 and during this time has guided Moat through a challenging economic and policy environment, maintaining its strong financial position whilst driving an ambitious development programme. Elizabeth is passionate about ensuring that as many people as possible have access to an affordable home, either to rent or to buy and is on the board of the National Housing Federation. Elizabeth’s career has been spent at the nexus of property and finance, having been a director of a number of major banks, in addition to DTZ, Savills and Ernst & Young.

Greg Taylor Executive Director Finance & Corporate ServicesGreg was appointed in December 2009 and works with Moat’s Executive Management Team to set and achieve challenging internal and external financial targets. Greg also oversees the Information Technology team and Digital Transformation initiatives across the business. Greg feels strongly that as an organisation funded partly through Government, Moat must be transparent, honest and resourceful in how income is spent. Since joining Moat he has provided vital advice and guidance to support the Finance Directorate and maintain Moat’s strength despite the difficult external financial environment.

Steve NunnExecutive Director Development & New BusinessSteve was appointed in April 2009 and is responsible for growing Moat’s new homes programme, the sales and marketing of our shared ownership homes as well as our wider for sale programme. Steve also heads up our Property Services function that delivers day to day maintenance and planned and cyclical works to our homes. Alongside this he is responsible for our Asset

Management function, stock acquisitions and disposals and is the Health and Safety lead on the Executive Team. Steve is passionate about partnership working and is a firm believer in the importance of understanding the needs of stakeholders and customer, and how this can be used to maximise the delivery of not just new homes, but the right new homes.

Anne-Britt KarunaratneExecutive Director Housing & Customer ServicesAnne-Britt was appointed in November 2017 and works with Moat’s Executive Management Team to further develop Moat’s vision for the future to meet the needs of both customers and stakeholders. Anne-Britt leads on customer operations, continually reviewing our customer offer to ensure we are a strong and approachable landlord. Anne-Britt has worked in the housing sector since 1986 in both the social and private sectors.

Moat candidate brief 6

Our board membersSteve White ChairSteve joined Moat’s Board in July 2016. Steve has spent most of his career leading organisations through large transformational change, including four and a half years as Chief Executive of the Hyde Group, during which time he developed a passion for all things housing. Steve is currently Chairman of Origin Housing and also works as an independent interim executive including senior roles at The Law Society, University of Southampton, Solicitors Regulation Authority, RBS and T Mobile.

Ian Lindsay Senior Independent DirectorIan joined Moat’s Board in June 2014. He is currently a partner at Aspire - a property consultancy specialising in strategic land acquisition and development management. Prior to Aspire Ian served as Crossrail’s Land and Property Director for 7 years and before that was at Network Rail taking forward commercial re-developments of the main London and regional stations. Ian is a chartered surveyor and passionate about housing, having started his career as a housing officer and previously served on the board of Hexagon housing association.

Mark FosterIndependent DirectorMark joined Moat’s Board in May 2016 as a Non-Executive Director. He has spent most of his career in the entertainment industry in various marketing and international development roles. He has been at the forefront of digital transformation, particularly in the music and cinema sectors, affecting all aspects of business including customer engagement, marketing and reporting. Mark brings fresh perspective to Moat, as we seek to transform in order to better meet the needs of customers and stakeholders. Mark also serves as a Non-Executive Director for 7Digital Group, is Chairman of MIDiA Research, and is a private property investor and landlord.

Jo MoranIndependent DirectorJo joined Moat’s Board in June 2014. She is Head of Customer Service at Marks & Spencer, where her focus is on championing, planning and delivering the customer experience across all channels for the UK operation. Until July 2015, Jo was also Chair of Governors for her local primary school, taking an active role in putting her business skills to use in the community. It is as a result of this work that Jo has come to understand the key importance of stable and decent housing provision particularly in the context of successful education.

Gerry McCormackIndependent DirectorAppointed to the Board in February 2015, Gerry brings 12 years of sector experience from his recent time as an Independent Director and Chair of Audit and Risk at Thames Valley Housing. A Scottish Chartered Accountant with a law degree, he has worked as Group Finance Director in publicly listed companies with substantial housebuilding and construction businesses. Gerry takes pride in putting his executive commercial and financial experience to work for the benefit of the registered social landlord sector. He currently provides strategic and financial advice to a number of privately owned businesses and in April 2015 joined the board of a not-for-profit regulatory body as Audit Committee Chair.

Elizabeth RantzenIndependent DirectorA Moat Board member since December 2016, Elizabeth’s background is with commercial organisations, in IT, retail and legal businesses; she now works exclusively in the public and non-profit sectors. She became involved in housing as a trustee of a small homelessness charity in London and spent many years on the board of Shelter, and as Director of the J Paul Getty Jr Trust, funding a range of innovative housing and community initiatives. Elizabeth’s other roles include Vice Chair of West London Mental Health Trust, Treasurer of the Prison Reform Trust and independent member of the Parole Board.

Moat candidate brief 7

Our board members

Tim BoagIndependent DirectorTim had a lengthy career at NatWest and has undertaken a variety of roles including risk, finance, structured finance and coverage. Tim was a Director of the Business Growth Fund for seven years, which provides long term capital to small and medium size enterprises. He was previously on the Chartered Banker Professional Standards Board and is a member of the CBI London Council.

Jane MarshIndependent DirectorJane joined Moat’s Board in September 2018. She was until recently the People and Culture Director of Innocent Drinks and has extensive HR experience across a number of sectors ranging from global multi nationals to smaller UK based companies. Jane is also a qualified solicitor, having spent the early part of her career in the City specialising in employment and pension law. Jane is a passionate advocate of developing people and driving employee engagement to deliver strong business outcomes.

Moat candidate brief 8

Role profile

Main purpose of the job

• To be responsible for developing and leading all business assurance activities to ensure appropriate risk management, legal and governance arrangements are in place to protect and sustain the business.

• To work collaboratively with the Executive Director, Finance and Corporate Services to promote and deliver robust risk managements in line with good / best practice and procure / manage insurance cover for all group activities.

• To act as the internal expert on governance, regulatory and legal compliance, working with the Board and Executive Team to ensure that the highest standards of governance are met.

• To be the Company’s Money Laundering Reporting Officer, Data Protection Officer and Secretary.

• To maintain oversight and provide advice, as appropriate, in relation to the Group’s health and safety activities.

• To help identify priorities and align resources to meet the strategic and operational objectives set out in the corporate plan.

Moat candidate brief 9

Key tasks

Governance and ComplianceTo promote high standards of corporate governance ensuring Moat meets its legal, governance and regulatory obligations:• Updating company rules, standing orders, terms

of reference, schemes of delegations and codes of governance for Board consideration and approval.

• Keeping up to date with regulatory changes and provide reports on changes that affect Moat to the Executive Team and Board. Offer expert advice on policies and procedures for effective compliance.

• Ensuring Board specific policies, procedures and service agreements are regularly reviewed in line with best practice.

• Supporting the Board in succession planning, recruitment, induction, training, and performance appraisal.

• Being a key point of contact for the RSH on regulatory issues.

• Co-ordinating to ensure that all necessary returns are made on time (including RSH regular returns and Charity Commission returns).

• Ensuring compliance with relevant legislation including Data Protection, Money Laundering, Whistleblowing, Bribery, Anti-Fraud, Document Retention. FCA consumer legislation and charity law.

• Being the designated person in respect of regulatory and compliance obligations such as GDPR data controller, Money Laundering Reporting Officer and Financial Conduct Authority Registered Principal User.

• Ensuring Statutory Accounts and Annual Reports contain the appropriate and accurate information in relation to Board and Governance requirements.

• Leading on the procurement of legal services, delivering a panel of legal advisors that can provide a comprehensive range of legal services.

(continued on next page)

Job title: Director of Governance & ComplianceDirectorate: Executive OfficeReports to (title): Chief Executive and to the Non-Executive ChairmanDirectly supervises: Board & Compliance Officer; Risk & Insurance Officer

Role profile

Moat candidate brief 10

(continued)

Company SecretarialTo facilitate effective functioning of the board by:• Being appointed to act as Company Secretary• Organising schedule of boards and committees to meet

the needs of the organisation, board members and legislative/ regulatory/ governance requirements

• Ensuring the provision of papers in a timely way• Acting as custodian of the clarity and integrity of records

of deliberations of the boards and committees• Ensuring all areas of the Moat website in relation to

Board and Governance issues are complete, accurate and up-to-date

• Anticipating the needs of non-executive directors• Ensuring an effective induction process for new board

members and effective on-going development of non-executive board members.

To win the confidence of and to act as a confidential sounding board for the Chairman and other board members:• Advising on the setting of the forward agenda for the

board• Providing a discreet but challenging voice in board

deliberations• Advising on the recruitment, induction, appraisal, reward

and development of board members• Advising on developing the performance of the board as

a whole.

To undertake the Statutory administration of Moat and its subsidiaries including:• maintaining statutory records (including directors register,

shareholders register, etc)• ensuring timely and appropriate filings with Companies

House, HMRC, and FCA• updating the internal database with changes to directors

and directors’ interests etcProviding general non-specialist legal guidance to Moat colleagues as required.

Risk ManagementManaging and co-ordinating Moat’s risk and assurance framework.

Facilitating the identification of strategic and operational risks, working with the Executive Team and senior managers to identify and effectively manage risk.In conjunction with the Executive Director of Finance, ensuring that:• robust financial procedures that comply with statutory

and regulatory requirements for probity, operations and reporting.

• a high standard is achieved in managing Moat’s risk management activity

• in ensuring the group-wide insurance arrangements appropriately balance the level of cover against the risk accepted by Moat.

• to co-ordinate and manage preparation and review of Moat’s quarterly internal risk management sign off process.

• Managing the internal audit contract ensuring that a programme of internal audits meeting Moat’s needs, is completed on time and that audit recommendations are implemented to an agreed timetable and that the Audit Committee is well informed on all areas of responsibility contained in its Terms of Reference.

Health and SafetyTo have oversight of the group’s health and safety activities liaising with the Head of Health and Safety as appropriate to ensure that assurance can be given to the Executive Team and Board:• that Moat properly discharges all its legal obligations and

related duties under current Health and Safety legislation.• that Moat has robust health and safety strategies,

policies, processes and procedures.

Executive OfficeTo co-ordinate that activities of the Executive Office in supporting the Chief Executive, Non-Executive Chairman and Board.To carry out all duties in accordance with Moat’s:• Equal opportunities policy• Health and safety policy• Policy on confidential reporting (whistleblowing)To carry out any other duties consistent with the post that may be required from time to time, at the discretion of the line manager.

Person specification

Moat candidate brief 11

Core Competencies

Drive for Results Customer ServiceTeamplayInterpersonal Effectiveness / Managing RelationshipsChange Orientation

44444

Management Competencies

Managing people and performancManaging Resources Strategic CapabilityVisionary Leadership

4444

This table should be read in conjunction with the Moat Competency Framework.

Technical Competencies

Entry Requirements:• Degree level qualification or relevant professional experience• ICAS qualification or equivalent• Company Secretary / Governance experience in public or not-for-profit companies managing non-executive boards• A thorough understanding of the areas for which the role is responsible, in particular, in relation to the regulatory

environment set by the Regulator of Social Housing or similar, and the legal requirements associated with being a Community and Benefit Society

• Proven Leadership experience.

Proficient Requirements:• Experience in managing / co-ordinating risk management and health and safety activities

Director of Accounting

Services

Interim Head of Governance and

Compliance

Governance and leadership structure

Moat candidate brief 12

Director of Governance and Compliance Head of Policy Personal Assistant

Chief Executive

Board and Compliance Officer

Risk and Insurance Officer

Chief Executive

Head of PolicyPersonal Assistant

Director of Communications and Public Affairs

Exec Director: Housing and

Customer Services

Exec Director: Development and

New Business

Exec Director: Finance and

Corporate ServicesHead of HR

Services

Director of Governance and

Compliance

Director of Neighbourhood

Services

Director of Customer Contact

Development

Sales & Marketing

New Business and Development

Finance Director

Director of Strategic Asset

Investment

Director of Property Services

Health, Safety & Facilities

Management

Director of Business Transformation and

Insight

Director of Information

Systems

Key terms and conditions

Moat candidate brief 13

The roleDirector of Governance and Compliance

Remuneration• Salary c£90k per annum

• Car Allowance £1921 per annum

Hours of work• Monday to Friday 9am to 5pm (with potential for

some flexibility)

• Reward Gateway – retailer discounts

Holidays • Annual leave – 26 days per year plus bank holidays

increasing with service (2 additional days after 2 years’ service, 3 additional days after 5 years’ service). ½ day birthday leave.

• Buy/sell annual leave – you can buy or sell up to one working week of annual leave per year

Pension• 3% employee contribution, 5% employer

contribution

Key dates and the selection process

Moat candidate brief 14

Closing date: Friday 1 March 2019 at 12 noonCandidates will be notified on 4th March if they are successful in being longlisted

First interviews: Friday 8 March 2019Longlisted candidates will be invited to an interview with a Campbell Tickell panel. This will take place at Campbell Tickell’s main office in Wembley.

Final interviews: Tuesday 19 March 2019Shortlisted candidates will be invited to an interview with a Moat Homes panel and a representative of Campbell Tickell. This will take place at Moat Homes Head Office.

If you are unable to attend on any of the identified dates for interview, please do speak to Campbell Tickell before making an application.

Media advertisement

Moat candidate brief 15

Director of Governance and CompliancePackage c £92k paDartford, Kent

Moat is a leading housing association in the South East, building high quality affordable homes for those in housing need.

We own and manage over 20,000 homes and are incredibly proud of our strong track record in delivering an average of 700 new affordable homes a year, and of the impact we have in our communities.

We are looking for a qualified Governance and Compliance professional who is passionate about what they do, and their contribution to our business success. We don’t do ‘tick boxes’, so we need someone who is approachable, pragmatic, and who manages risk and compliance in a business context. This role reports directly to the Chief Executive but we pride ourselves on having a relatively informal and flat structure – so you need to influence through your professional skills and enthusiasm to take others with you.

You can download a job pack at: campbelltickell.com/jobs/

Closing date: Friday 1 March 2019 at 12 noon.

Telephone: 02088 306 777Recruitment: 02034 340 990

info@campbelltickell.comcampbelltickell.com@CampbellTickel1