A specialist recruitment consultancy operating within Compliance, Credit Risk & Analytics, Customer Contact, Finance & Audit, ​Financial Crime & Fraud and Risk Management

Business Integrity Associate – Private Equity

London

£53,000 + Package

The Client- A Private Equity, Government backed organisation are looking to recruit a specialist financial crime executive to complement their existing team. The organisation is very active in investment opportunities in Africa and South East Asia across emerging and frontier markets. The Role- This role will be responsible for conducting integrity due diligence for individual investments, providing written and oral analysis of the business integrity risks to investment teams and senior management. You will undertake business integrity related research and due diligence for pipeline investments and engage with external consultants where required. You will monitor for integrity issues in specific parts of the portfolio, managing relationships with portfolio companies or funds. You will develop tools in anti-corruption, anti-money laundering or counter terrorist-financing to help improve business integrity outcomes at portfolio companies and funds. Key Requirements- The ideal candidate for this role will have extensive experience in Anti-Bribery and Corruption, AML and Due Diligence practices alongside a wider skillset covering the full spectrum of financial crime practices and investigations. You will have experience in operating in the South Asian or African market. You will have a proven track record of investigation practices and of developing effective solutions to financial crime and ABC solutions. This is a fantastic opportunity to work for a globally reaching organisation with an ethical mission.

Conflicts Analyst - Legal

London

£33,000 + Package

The Client A global Law firm are looking to recruit a Conflicts Analyst to join their in-house Compliance and Due Diligence team. This Client does not provide sponsorship. The role Key Requirements- Researching, analysing and conducting CDD (Client Due Diligence) and conflict checks for all new and existing clients and client matters across the Firm. Escalate complex conflicts issues to the Risk and Compliance Manager. Conduct checks on Anti-Money Laundering documentation. Conduct searches and analysis related to AML.

Field Compliance Manager – CeMAP – Cardiff

Cardiff

£34,000 + Car Allowance

Well known Financial Services firm with offices across the UK are looking to hire a Field Compliance Manager to be responsible for managing a number of appointed representatives / mortgage advisors within a geographical area across Cardiff and South Wales. The position is a home based role with travel 2/3 days per week. Key Responsibilities: Ensure a consistent approach to compliance and regulatory policy Work closely with Advice Quality, ensure that all checks are followed up and any issues are dealt with promptly Use observation skills to identify areas of concern or development need of Advisors Effectively supervise Advisors within your span of control Ensure records are kept updated with all relevant and necessary information Proactively contribute to the wider compliance teams to improve processes and procedures Complete regular reviews of AR firms to ensure effectiveness of controls within the business, providing a report with a summary of findings and action plan to the relevant Approved Person Effectively handle any regulatory or compliance queries received from AR firms & Advisors, raising any action points as necessary Regular updates & completion of relevant back office system Identify and manage risk within the business (to include quality of client files, advice quality, advice process, new advisers moving through scheme, operating procedures etc.) Audit of new ARs when required ensuring that all activity & documentation meet the necessary standard Key Requirements: CeMAP qualification Experience working with mortgage advisers / appointed representatives Ability to communicate at all levels with professionalism and integrity Motivational qualities to motivate the Advisors to strive for success Effective time management of self to drive efficiencies Able to demonstrate building effective relationships with key stakeholders Able to demonstrate good problem-solving skills, plan effective contingencies and solutions

Senior Compliance Officer

East Midlands

£40,000 - £45,000 plus attractive benefits

The Client- Our client is a leading financial services business who are well regarded in their market. The role will be responsible for assisting the Head of Compliance & Risk in delivering the annual compliance plan, specifically ensuring all monitoring activities are appropriately carried out. This Client does not provide sponsorship. The Role: Assist with the creation of the compliance annual plan, specifically the monitoring activities to be undertaken Delivering the programme of risk based monitoring and oversight reviews of the business, first line activities, ensuring continued adherence to legal and regulatory obligations. Design, create and deliver (as appropriate) all regulatory training and awareness both internally and externally Completing monitoring assessment of field based sales staff and high risk agents ensuring any concerns are appropriately identified, raised and mitigating actions undertaken to satisfactory resolution. Undertaking regular reviews, through compliance visits, ensuring that robust systems and controls are in place Supporting the Head of Compliance & Risk with reporting to business committees, being deputy attendee in their absence Implementation and embedment of compliance policies throughout the business, and agents where appropriate, through communication and training, and embedment of local processes Management of agent monitoring processes, including due diligence and ongoing monitoring in accordance with the compliance policy and regulatory requirements Delivering the requirements of the conduct risk framework through the delivery and challenge of relevant management reporting Supporting the Head of Compliance & Risk with regulatory and strategic projects within the business, ensuring compliance with regulatory requirements and providing appropriate advice, guidance and steer Key Requirements: Minimum of 5 years’ experience working within a FCA regulated or similar environment Ability to assess the business in order to design a risk based monitoring plan and training needs, ensuring FCA hot topics are focued upon. Degree level education

AML & Compliance Manager – FX/Payments

London

£45,000

The client is a global leading, FinTech, Payments Solutions and Cross-Border payments business. They operate across a global remit with offices in North America, Europe, Middle East & APAC. This Client does not provide sponsorship. Role Profile: This role is responsible for leading and coaching the FX diligence team and supporting Compliance leadership team with regards to the FX products offered by the business. You will be responsible for providing SME support to the business with regards to Due Diligence, Counter Terrorist Finance and Anti-Money Laundering. You will work with internal stakeholders and prospective clients, providing effective challenge in relation to the risks specific to the FX business as well as ensuring group-wide compliance with external legislation and regulation and internal policies and procedures You will be responsible for pproviding leadership and direction to direct-reports through regular engagement across the function and support, direct and assist direct reports in identifying, reviewing and escalating diligence risk issues, including potential money laundering, fraud and sanctions issues and will have a proven track record of applying legislation and regulation, including the 4MLD and the Payment Services Regulations to a commercial business. This is a great opportunity for an individual with a strong regulatory FX background and team management experience to establish themselves within a global business.

Pricing Manager

London

£45,000 - £55,000

A super opportunity to join a consumer lending organisation that is committed to providing excellent services to customers and a stimulating work environment, enabling growth and development for individual employees and the business as a whole. With big development and expansion plans, including opening a new office in the near future, this is a great time to join a successful and growing business. Somewhat unusually for a Pricing role, this will be a very hands-on, analytical position as well as the usual Pricing-related responsibilities. This Client does not provide sponsorship. Key Responsibilities of the Pricing Manager: Develop and deliver pricing strategies and initiatives Enhance the pricing processes, tools, procedures and techniques Prepare financial and statistical models Conduct statistical research into pricing opportunities Prepare and present to committees, stakeholders, etc. Analyse and monitor strategy performance following changes Work in a hands-on, proactive, team environment Ideal knowledge and experience for the Pricing Manager role: Relevant academic background & experience in an analytics role Previous Banking / Pricing experience Strong technical ability – able to code in SAS (and SQL ideally) Statistical modelling experience Able to use VBA and Excel Other desirable skills – R, Python, etc. Outgoing, dynamic personality to fit with the team Excellent communication and presentation skills

Proposition Manager

London

£45,000 - £60,000

My Client is looking for a Proposition Manager who can help inform and drive their card proposition strategy by analysing competitors and the wider payments market to deliver exciting customer focused propositions. Responsibilities You’ll drive the assessment and development of opportunities by understanding customer lifestyle needs and desires through great commercial conversations. Translating these into relevant proposals, undertaking financial assessment and obtaining stakeholder approval. Also ask you to undertake post launch assessments to monitor the customer experience, ongoing engagement and financial returns. As a member of and contributor to the Commercial Strategies Team, you’ll bring your knowledge and expertise from past experience to help us build a different kind of bank! Skills & Experience Significant experience of working within a digital, data driven environment where you have analysed customer behaviours to drive Customer Relationship Management (CRM) Programmes. Successfully delivered CRM programmes from taking new ideas from ideation through to delivery - preferably in a complex matrixed environment. the ability to keep the complex simple is essential as well as have having an engaging manner with excellent communication skills (written and verbal) and gravitas to present and influence others at all levels.

Finance Manager

Lancashire

£42,5000 - £47,500

Our Client, a well-established and privately-owned company is keen to recruit an experienced Finance Manager on a permanent basis. Reporting to the senior Finance Manager, duties will include: Management accounts responsibility for a portfolio contributing to £100m of Group turnover Manage and develop a team of three Consolidation and review of monthly reporting, supporting the Finance Manager & BU Finance Directors with the investigation of trends and product profitability analysis. Business partnering commercial and operational divisions, providing analysis to support strategic decision making. Provide budgetary / forecasting support to the Finance Manager and BU Finance Directors. Working closely with the Finance Manager to ensure margin drivers are monitored, identifying key risks and opportunities. Cash flow / project management. Carry out any ‘ad hoc’ assignments as and when required. Knowledge, Skills, Experience required: Qualified accountant (CIMA, ACCA, ACA) with minimum 2 years post qual experience Advanced MS Excel skills to a level enabling effective data analysis (Inc. V & H-look up and PivotTables) Good communication skills, able to work effectively with both Finance and non-Finance colleagues Strong attention to detail including awareness of contracts and legal documentation Ability to handle multiple tasks, prioritise workloads and meet deadlines A high energy level with creative problem-solving abilities Must be able to work on own initiative and as part of a team. This is a great opportunity for somebody who is looking for that next step up in their career with a company offering excellent commercial exposure to the wider business. Due to the high volume of applications, unfortunately we cannot reply to all personally. If you have not heard from us within 10 days please assume that you have not been successful this time.

Senior Pricing Manager

London

N/A

A super opportunity to join a consumer lending organisation that is committed to providing excellent services to customers and a stimulating work environment, enabling growth and development for individual employees and the business as a whole. With big development and expansion plans, including opening a new office in the near future, this is a great time to join a successful and growing business. This Client does not provide sponsorship. Key Responsibilities of the Senior Pricing Manager: Leading the pricing activity for personal and SME savings Deliver strategic capability enhancements Develop & enhance tools to aid pricing decision-making (eg. Management reporting, forecasting) Support delivery of strategic change Produce pricing proposal papers Forecast impact of pricing approaches Stakeholder management Ideal knowledge and experience for the Senior Pricing Manager role: Strong academic background / relevant experience Extensive experience in a financial services, pricing, product management, savings environment Strong analytical skills, including direct, hands-on experience Strong understanding of the UK savings marker Relationship management and communication skills

Data Privacy Manager

Liverpool

£40,000 - £50,000

The Client: Our client is a leading online business who are currently recruiting for a Data Privacy Manager. The role will be responsible for supporting the Senior Data Privacy Officer in the daily work duties for the Data Protection Office. This Client does not provide sponsorship. The role: Responsible for the daily tasks of the Data Protection Office including monitoring notifications to the DPO Inbox, escalating any potential breaches to the Senior Data Prviacy Manager Play a key role in chance and new projects in order to provide guidance and advice to the business Support all pro active related activities relating to Data Privacy within the business Be the conduit for advice related quires in to the Data Protection Office from all business areas and will esclatae more technical queries to the Senior Data Privacy Manager Assist the Senior Data Privacy Officer develop, embed & monitor data privacy management and oversight across the business Ensure the business handles customer and people data effectively and securely and we process it for the right reasons Stakeholder management providing guidance and support of the Data Protection Process Challenging existing ways of working, reviewing effectiveness of the business’ Privacy policies Support the Data Protection Officer embed the desired data privacy culture and assist compiling regular culture messages from the DPO, helping develop data privacy cultural behaviours in the business to make them stick Providing guidance on the change programmes and new projects from a Data Privacy GDPR Perspective Key Requirements: This role would be suitable for a Compliance candidate looking to focus in the area of Data Privacy. Ideally, detailed knowledge and understanding of The Data Protection Act and GDPR Strong knowledge of governance frameworks and management Ability to disseminate and clearly communicate GDPR and ICO matters effectively

Strategy Analyst

London

£30,000 - £45,000

A super opportunity to join a consumer lending organisation that is committed to providing excellent services to customers and a stimulating work environment, enabling growth and development for individual employees and the business as a whole. You will be joining the Insight team – a dynamic, outgoing function where everyone is proactive and likes to get involved as much as they can. This business area is looking to expand over the next few years so it’s a good time to join, have an input in strategy development and then conduct the performance analysis in future. This Client does not provide sponsorship. Key Responsibilities of the Senior Strategy Analyst: Report to the Senior Insights Manager Support the development, design and management of strategies and MI Conduct performance analysis of lending portfolios and strategies Enhance portfolio reporting tools and processes Aim to optimise the risk and reward performance and control and minimise portfolio losses Ideal knowledge & experience for the Senior Strategy Analyst opportunity: Essential – SAS / Coding skills & an outgoing personality Desirable: Relevant academic background or experience (eg. Statistical degree) Experience in a similar role – strategy / performance monitoring Knowledge of IFRS9 and the UK Collections / Debt Management industry SQL, VBA and Excel application development

Financial Promotions Analyst – Asset Manager

London

£35,000 - £45,000

The Client A well established and highly successful global Asset Management firm are seeking to recruit a Financial Promotions and Marketing specialist to join their Compliance team in London. The Role Reporting in to the Marketing Compliance Manager, you will be responsible for: The review and sign off of retail and institutional marketing materials Interpretation of local marketing rules Liaise with other Compliance teams, particularly the Distribution team in the provision of high quality and consistent compliance advice Deputise for the Marketing Manager in meetings when required Key Requirements- Some experience of reviewing Financial Promotions across Financial Services Knowledge and awareness of UK and International marketing regulatory environment Self-starter, high levels of initiative and a strong work ethic Ability to analyse complex and evolving positions and ability to express regulatory concepts in a clear and concise manner Team player, supportive with a collegiate approach Excellent written and oral communication skills

Senior Specialist, Campaign Analytics (London/ Leeds)

London

£46,000 – £50,000

My client is looking for a Marketing and Operation Analytic to lead analyst in the Campaign Analytics function within Marketing in the definition, implementation, delivery, monitoring and optimisation of the customer journey for Co-Branded accounts throughout the customer lifecycle increasing customer-product engagement and maximising ROI through data. Responsibilities Utilise the latest analytical tools and thinking to drive Marketing forwards, maximising campaign impact Ensure timely delivery of customer selections using SAS and / or Salesforce to fulfil the customer journey from a marketing perspective Lead the delivery of complex selections, ensuring the requirements of Campaign Analytics are fed into the project process and representing the team in project meetings. Drive the automation of current SAS processes to increase efficiencies and support a zero-error culture within the wider analytical community Identifying and escalating any process gaps or potential enterprise / credit risks associated with Marketing activity Designing and embedding test matrices to optimise learnings vs business performance Provide analysis on the performance of the marketing activity and use this analysis to provide future strategic recommendations and direction. Developing stand out presentations to key stakeholders, including external clients and up to Director level internally Delivery and evolution of campaign analysis to understand business and commercial impact Lead the digital evolution of the business and drive the digital analytics agenda. Develop and manage key relationships across the internal and external client, commercial and marketing teams Mentoring of Analysts within team & ensuring their selections are also being completed without error Lead new projects Skills and Experience This role will require extensive knowledge and usage of SAS and analytical techniques to deliver and enhance multiple daily selections and analysis Drive and own the evolution and implementation of new systems, strategies and analysis. Ownership of analytical projects and client relationships. Digitisation of campaign process would be a critical requirement Relationship management with key stakeholders across the business in order to drive and embed analytics Senior Analyst / Specialist with 5 years’ experience or knowledge of analytical roles within the same or similar disciplines Knowledge of either Marketing or Risk strategy / systems design or development Ability to manipulate and present complex data Experience in setting up or running SAS selections in a zero-error environment Ability to take on relationship management and own processes from the off with little oversight Knowledge of the UK Credit market, especially in relation to card products Strong quantitative analytical skills

Financial Crime Analyst

Leeds

£21,000 - £24,000 pa

The role will be responsible for helping to minimise the business unit’s exposure to Financial Crime The Client- Our client is a leading financial services’ business who are well regarded in their market. This Client does not provide sponsorship. The role: Financial Crime Investigation Preventative/Detective including Fraud and Anti-Money Laundering Liaison with Credit Industry Fraud Avoidance System (CIFAS) Loading confidential details on CIFAS Management of Experian “Hunter” system Batch & Real Time queues Deal with section 29 & Production Orders received within statutory timelines Manage confidential Credit File Queries from Customers Screening of Politically Exposed Persons (PEPs) Sanctions screening checks Enhanced due diligence on high risk customers Responsible for communicating clearly what the possible customer outcomes are and ensuring all follow up actions are completed accurately Identify and evaluate risks within area of responsibility (including errors, financial crime and inappropriate procedures) ensuring sufficient business controls are in place to mitigate risk exposure Investigate and identify and implement improvements to processes Key Requirements: Financial crime/fraud experience within a financial services’ background Previous experience using Fraud systems Experience in dealing with customer telephone queries is desirable

Senior Data Privacy Manager

Liverpool

£50,000 - £70,000 + Benefits

Our client is a leading financial services business who are currently recruiting for a Senior Data Privacy Manager. Job Description: The role will be responsible for supporting the Data Protection Officer managing the oversight and monitoring of compliance with Data Privacy laws. This Client does not provide sponsorship. The role- Responsible for proactive related activities relating to data privacy within the business Providing advice and support to the business for all data privacy matters which will include further embedding of the desired data privacy culture Provide guidance on change programmes and new projects from a Data Privacy GDPR Perspective Be a trusted senior advisor to senior leaders in order to maintain regulatory compliance and minimise business risks Act as Deputy Chair in the Data Governance Committee Provide key support to the Data Protection Officer, assisting the business embed a strong data privacy ethic/culture and ensure the business maintains compliance with data privacy laws and regulation Be the conduit for all data privacy advice and guidance to the business Review and approve all data privacy related matters to the business (projects and change) Oversight and maintenance of the data privacy of the data privacy framework (policies, standards and controls and processes) in conjunction with the Data Governance Committee and business stakeholders Oversee the maintenance of records of processing required to demonstrate data protection compliance Ensure the Information asset register is further developed and maintained Key Requirements- Detailed knowledge and understanding of The Data Protection Act and GDPR Strong knowledge of governance frameworks and management Ability to disseminate and clearly communicate GDPR and ICO matters effectively

Credit Decisioning Consultant

Newcastle upon Tyne

Flexible

A 6 month contract opportunity with a well-established and globally recognised business that focuses on providing an exceptional banking experience for customers. This Client does not provide sponsorship. Key Responsibilities of the Credit Decisioning Consultant: Lead the development, testing and implementation of platforms, strategies, tools, etc. relating to mortgage decisioning Manage and communicate with stakeholders and relevant parties Utilise SDS, VBA and other relevant tools Coach and develop junior analysts The ideal candidate for this Credit Decisioning Consultant opportunity will have the following knowledge, experience and understanding: Experience in a similar role Knowledge of Experian Strategy Design Studio (SDS), Transact, Powercurve, Strategy Manager, SAS, SQL, VBA, etc. Available to start quickly Able to work from North East office at least 3 days per week

Accounts Payable Clerk

Lancashire

£18,000 - £20,000 pa

My client, a well-established and privately owned company is keen to recruit an experienced Accounts Payable Clerk on a permanent basis. Reporting to the Accounts Payable Team Leader, duties will include: Coding & posting of invoices Resolution of supplier queries Preparation of payment runs Monthly aged creditor analysis including investigation of invoices over payment terms which are not approved statement reconciliation where applicable Ad-hoc office duties including filing, scanning & post Key Skills: Excellent attention to detail and able to prioritise processes and use initiative to improve efficiency where possible. Effective liaison and communication with suppliers & internal customers including senior managers Able to work effectively under pressure in a high volume environment with minimal supervision Awareness of & achievement of deadlines This is a great opportunity for somebody who is looking to join a fantastic, professional company. Due to the high volume of applications, unfortunately we cannot reply to all personally. If you have not heard from us within 10 days please assume that you have not been successful this time.

Analytics Graduate

Birmingham

£20,000 - £30,000

A fantastic opportunity for an analytical graduate to kick-start their career with an established, globally recognised data analytics company. If you’re pursuing a career in technology, data, analytics or similar this is the perfect environment to expand on your academic experience and develop a wide variety of skills whilst providing you with great travel opportunities as well! This Client does not provide sponsorship. Key Responsibilities of the Analytics Graduate: Work with clients across a variety of industries – Financial Services, Retail, Insurance, Manufacturing, etc. Build, design and develop mathematical / statistical models to support business decisions Support the build of decision strategies Develop an understanding of a wide range of analytical tools, techniques, softwares and where and how to apply them best The ideal candidate for this Analytics Graduate opportunity will have the following knowledge, experience and understanding: Strong academic history – relevant technical degree (eg. Data Science, Statistics, Mathematics, Engineering, etc.) Strong desire to pursue an analytical / technical / data related career Experience or exposure to machine learning techniques, data science, programming, data wrangling, modelling, etc. Knowledge of R or Python (other desirables – SAS, C, Java, Scala, Spark, Hadoop, etc.) Strong analytical and problem solving skills Excellent communication skills

Analytics Graduate

London

£20,000 - £30,000

A fantastic opportunity for an analytical graduate to kick-start their career with an established, globally recognised data analytics company. If you’re pursuing a career in technology, data, analytics or similar this is the perfect environment to expand on your academic experience and develop a wide variety of skills whilst providing you with great travel opportunities as well! This Client does not provide sponsorship. Key Responsibilities of the Analytics Graduate: Work with clients across a variety of industries – Financial Services, Retail, Insurance, Manufacturing, etc. Build, design and develop mathematical / statistical models to support business decisions Support the build of decision strategies Develop an understanding of a wide range of analytical tools, techniques, softwares and where and how to apply them best The ideal candidate for this Analytics Graduate opportunity will have the following knowledge, experience and understanding: Strong academic history – relevant technical degree (eg. Data Science, Statistics, Mathematics, Engineering, etc.) Strong desire to pursue an analytical / technical / data related career Experience or exposure to machine learning techniques, data science, programming, data wrangling, modelling, etc. Knowledge of R or Python (other desirables – SAS, C, Java, Scala, Spark, Hadoop, etc.) Strong analytical and problem solving skills Excellent communication skills

Senior Treasury Analyst

London

£60,000 - £65,000

The Client- A leading UK Retail & Commercial Bank are looking for a Senior Treasury Analyst to join their Finance team in London. The role- Balance sheet management with a primary focus on funding and liquidity risk. Develop and manage Funding and Liquidity processes (including ILAAP, stress testing and cashflow modelling) Develop and manage cash optimisation processes Develop and manage Funds Transfer Pricing process Support investment of Liquid Asset Buffer Execution of hedging (FX, Interest Rate Swaps) transactions as directed. Support Treasury inputs to business planning updates Maintenance of key internal and external stakeholder relationships (including Finance, Business Lines, Risk, and Relationship Banks). Forecast cash movements, execute transfers to optimise cash position within Board/ALCo limits. Manage weekly liquidity process (including cashflow and MI pack). Monthly review of FTP outputs Project manage and execute elements of the ILAAP production process Execute hedging transactions as directed Support Investment of Liquid Asset Buffer Develop expertise in the bank’s cashflow, cash management and FTP in order to be able support Finance/Business units in reporting/analysis and decision making. Key experience- Educated to degree level ACT, CFA, or accounting qualification, or working towards, an advantage Experience of working in a bank, with some exposure to Treasury function Good understanding of UK bank market, competitive forces, and how a Treasury supports the Business Understanding of UK regulatory environment for funding and liquidity Knowledge of Liquidity Risk drivers Demonstrable desire to grow within a Treasury role Strong relationship management skills (internal and/or external) Desirable experience- Experience of working in the front or middle office of a bank Treasury function Previous experience with Cognos TM1 Exposure to funds transfer pricing processes Practical ALM experience gained in a similar type of organisation

Compliance Monitoring Officer – Asset Manager

London

£55,000-£65,000 basic salary plus package

The Client- A well established and highly successful Fund Manager, are seeking to recruit Compliance Monitoring Consultants to work closely with the Compliance Monitoring Managers in performing firm wide thematic reviews. The Role Reporting in to the Compliance Monitoring Manager, you will be expected to deliver high quality Compliance Monitoring activities in a targeted manner. Your duties including: Regular testing, thematic and ad-hoc reviews to test both compliance with regulation and the delivery of fair customer outcomes Leading reviews as and when required by the Compliance Monitoring Manager/Head of Compliance Monitoring Consulting with the Compliance Advisory Teams and Risk teams in order to ensure that the selection, scope setting and approach to delivering reviews are planned and targeted effectively Taking responsibility for ensuring that where issues are identified, appropriate remedial actions are recommended to the business and tracked through to completion The drafting and issuing of formal reports to the business Assisting the Compliance Monitoring Manager/Head of Compliance Monitoring with the production of periodic reports to Boards and Committees. Key Requirements- This role would ideally suit a candidate who understands the mechanics of the Fund Management space. In order to be considered for the position candidates must – Have solid knowledge Compliance Monitoring experience, ideally gained in an Asset Manager but other sector experience will be considered Have excellent knowledge of FCA rules governing the Asset Management space Be degree educated – preferred but not essential Be confident in dealing with senior stakeholders Have excellent organisational, communication and presentation skills Have the ability to work under pressure whilst managing multiple and conflicting deadlines

Corporate Governance Analyst / Company Secretarial Assistant

London

£45,000 - £50,000

Our Client One of the largest asset management firms looking after over £550 billion in assets. The Role Corporate governance professional to join the team in supporting a broad remit of company secretarial duties, its subsidiaries, various key committees and groups within the organisation. This will be a fairly broad role covering some of the following: Committee Support: Prepare agenda in consultation with the Chair and committee members. Collate papers, prepare and distribute meeting packs. Draft minutes and maintain action logs. Follow up on outstanding actions from committee/group meetings. Assist in the review and maintenance of the terms of reference of various committees. Liaise with PAs in setting up quarterly and ad hoc meetings of committees. Board Support: Assist with statutory filings and general record keeping. Assist with board and committee meetings. Liaise with company secretarial service providers of offshore entities to meet governance objectives. Assist the Corporate Governance Manager with the following activities: Preparation of meeting agendas. Preparation and collation of Board reports. Review minutes and follow up on actions where required. Monitor and facilitate corporate governance timetables. Others: Undertake and assist with various regulatory projects as and when required. Assist in the efficient running of Director due diligence workshops and Directors’ training programmes. Assist with annual review of committee functions and memberships. Management of Authorised Signatory lists. Facilitate notarisation of documents. Attend and contribute to governance forums. Key Requirements Part-qualified or working towards ACIS or equivalent. Strong organisational and time-management skills. Good communicational skills (written and verbal). Financial Services experience preferred. Strong team player with ability to work autonomously.

T&C Supervisor – Private Bank /Wealth Management

London

£60,000 - £70,000 basic salary & bens

Our Client Our client is a well-regarded, fast growing and entrepreneurial financial services organisation who provides private banking, wealth management and financial planning from their various offices across the UK. An opportunity has arisen for a T&C specialist to assist in maintaining the Bank’s T&C framework and promoting a strong compliance culture, ensuring that regulatory and conduct risk is managed effectively. The Role Working across the group, you will be required to: Work closely with the T&C Manager to develop the T&C scheme across Private Banking and Wealth Planning units. Train new T&C supervisors on both the soft skills and practical application of the T&C scheme Conduct file reviews and observe visits across all product areas, identifying the suitability of the advice given by an advisor and areas for developments Act as an escalation point for complex files or sensitive issues Identify common themes and risks across the business in terms of development areas or knowledge gaps Educate the client-facing staff on the benefits of a robust T&C scheme Recognise that Treating Customers Fairly and maintaining a strong conduct risk culture is at the forefront of everything you do Key Requirements Proven experience of working in a T&C/Suitability role Experience of working in the Wealth Management, IFA or Private Banking sector Very strong understanding of FCA requirements around T&C Must be able to set high standards and ensure you can deliver a professional, accurate and timely service to customers Relevant qualifications obtained (preferred) Strong communication skills – written and verbal

Compliance Analyst

Newcastle upon Tyne

£20,000 - £25,000 + Benefits

Based in the Newcastle office, the Compliance Associate will assist the Compliance Team in delivering a range of compliance solutions to its clients. The individual will need to demonstrate independence of thought, a willingness to challenge where appropriate, be able to work within a team and be pro-active. The role will involve: Support the Compliance Associates and Compliance Managers to ensure that the firm and its clients are in compliance with FCA regulatory and compliance rules Support and manage the on-boarding process (KYC/AML checks/credit checks, etc) of new FCA regulated corporate teams and individuals within the financial services industry Support the compliance team on a variety of client facing compliance projects Conduct research and prepare documentation in response to client inquiries Undertake file checking and file reviews Participate in internal compliance training programs as part of continuing learning and development program Desire to expand formal and informal knowledge about FCA regulation Key Requirements: Prior experience within an FCA regulated services firm, within a Compliance function Some understanding of Financial Conduct Authority’s regulatory frameworks A-level and Bachelors degree preferred

Resource Planning Analyst

Plymouth

£23,000 - £25,000 pa

This resource planning analyst role has been created to provide a highly specialised service that brings together information regarding customer demand and resource supply. It is an advisory role that ensures optimum use of time/cost/resource to maximise collections performance whilst identifying potential opportunities for improvement. The main duties and responsibilities of the role are: Collate information from a wide range of sources e.g. operational/specialist teams, and economic and regulatory indicators, together with known historical patterns of customer demand Interprets specialised internal and external data to create customer demand forecasts using dedicated tools Create effective resource and demand plans that take into account all internal and external data, that ensures we can operate effectively and maximise performance Works across the function to ensure that plans align and adhered to Proactively intervenes in the event of issues arising when plans are live and take steps to resolve and reforecast where appropriate Monitors effectiveness of resource and demand plans whilst in operation and applies to future forecasting Engages operation and specialist areas to promote understanding of and buy in to the planning Essential Qualifications and Skills Desired: Highly numerate/strong analytical skills Knowledge of forecasting methodology & regression analysis Good understanding of end to end resource planning methodologies including scheduling Strong stakeholder management & engagement Expert knowledge of Excel

Analytics Consultant

Birmingham

£30,000 - £60,000 Dependent on Experience

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, the role will involve a vast amount of travel around the EMEA region, delivering analytics solutions to a large variety of clients. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Develop analytical solutions to solve business problems across a variety of industries Design and build predictive, optimisation and decision models Work with large amounts of data Provide consultancy support regarding the effective use of models, strategies, processes, etc. Manage various projects simultaneously Ideal Experience for the Analytics Consultant: Strong academic background, degree in a related area – Mathematics, Statistics, Operational Research, etc. Experience of building Fraud Analytics solutions Experience working with transactional data Strong analytical & problem solving skills Knowledge of Java, C++, R, Python, Scala or similar Knowledge of scoring, model development (especially predictive), quantitative analysis, etc. Excellent communication skills

Analytics Consultant

London

N/A

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, the role will involve a vast amount of travel around the EMEA region, delivering analytics solutions to a large variety of clients. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Develop analytical solutions to solve business problems across a variety of industries Design and build predictive, optimisation and decision models Work with large amounts of data Provide consultancy support regarding the effective use of models, strategies, processes, etc. Manage various projects simultaneously Ideal Experience for the Analytics Consultant: Strong academic background, degree in a related area – Mathematics, Statistics, Operational Research, etc. Experience of building Fraud Analytics solutions Experience working with transactional data Strong analytical & problem solving skills Knowledge of Java, C++, R, Python, Scala or similar Knowledge of scoring, model development (especially predictive), quantitative analysis, etc. Excellent communication skills

Analytics Consultant

Leeds

£30,000 - £60,000 Dependent on Experience

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, the role will involve a vast amount of travel around the EMEA region, delivering analytics solutions to a large variety of clients. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Develop analytical solutions to solve business problems across a variety of industries Design and build predictive, optimisation and decision models Work with large amounts of data Provide consultancy support regarding the effective use of models, strategies, processes, etc. Manage various projects simultaneously Ideal Experience for the Analytics Consultant: Strong academic background, degree in a related area – Mathematics, Statistics, Operational Research, etc. Experience of building Fraud Analytics solutions Experience working with transactional data Strong analytical & problem solving skills Knowledge of Java, C++, R, Python, Scala or similar Knowledge of scoring, model development (especially predictive), quantitative analysis, etc. Excellent communication skills

Analytics Consultant

Manchester

£30,000 - £60,000 Dependent on Experience

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, the role will involve a vast amount of travel around the EMEA region, delivering analytics solutions to a large variety of clients. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Develop analytical solutions to solve business problems across a variety of industries Design and build predictive, optimisation and decision models Work with large amounts of data Provide consultancy support regarding the effective use of models, strategies, processes, etc. Manage various projects simultaneously Ideal Experience for the Analytics Consultant: Strong academic background, degree in a related area – Mathematics, Statistics, Operational Research, etc. Experience of building Fraud Analytics solutions Experience working with transactional data Strong analytical & problem solving skills Knowledge of Java, C++, R, Python, Scala or similar Knowledge of scoring, model development (especially predictive), quantitative analysis, etc. Excellent communication skills

Lead Analytics Consultant

Birmingham

£50,000 - £80,000 Dependent on Experience

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, the role will involve a vast amount of travel around the EMEA region, delivering analytics solutions to a large variety of clients. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Develop analytical solutions to solve business problems across a variety of industries Design and build predictive, optimisation and decision models Work with large amounts of data Provide consultancy support regarding the effective use of models, strategies, processes, etc. Manage various projects simultaneously Ideal Experience for the Analytics Consultant: Strong academic background, degree in a related area – Mathematics, Statistics, Operational Research, etc. Core analytics experience – IRB, Basel II, IFRS9, Customer Risk Life Cycle exposure Experience working with transactional data Strong analytical & problem solving skills Knowledge of Java, C++, R, Python, Scala or similar Knowledge of scoring, model development (especially predictive), quantitative analysis, etc. Excellent communication skills

Lead Analytics Consultant

London

N/A

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, the role will involve a vast amount of travel around the EMEA region, delivering analytics solutions to a large variety of clients. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Develop analytical solutions to solve business problems across a variety of industries Design and build predictive, optimisation and decision models Work with large amounts of data Provide consultancy support regarding the effective use of models, strategies, processes, etc. Manage various projects simultaneously Ideal Experience for the Analytics Consultant: Strong academic background, degree in a related area – Mathematics, Statistics, Operational Research, etc. Core analytics experience – IRB, Basel II, IFRS9, Customer Risk Life Cycle exposure Experience working with transactional data Strong analytical & problem solving skills Knowledge of Java, C++, R, Python, Scala or similar Knowledge of scoring, model development (especially predictive), quantitative analysis, etc. Excellent communication skills

Lead Analytics Consultant

Leeds

£50,000 - £80,000 Dependent on Experience

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, the role will involve a vast amount of travel around the EMEA region, delivering analytics solutions to a large variety of clients. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Develop analytical solutions to solve business problems across a variety of industries Design and build predictive, optimisation and decision models Work with large amounts of data Provide consultancy support regarding the effective use of models, strategies, processes, etc. Manage various projects simultaneously Ideal Experience for the Analytics Consultant: Strong academic background, degree in a related area – Mathematics, Statistics, Operational Research, etc. Core analytics experience – IRB, Basel II, IFRS9, Customer Risk Life Cycle exposure Experience working with transactional data Strong analytical & problem solving skills Knowledge of Java, C++, R, Python, Scala or similar Knowledge of scoring, model development (especially predictive), quantitative analysis, etc. Excellent communication skills

Lead Analytics Consultant

Manchester

£50,000 - £80,000 Dependent on Experience

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, the role will involve a vast amount of travel around the EMEA region, delivering analytics solutions to a large variety of clients. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Develop analytical solutions to solve business problems across a variety of industries Design and build predictive, optimisation and decision models Work with large amounts of data Provide consultancy support regarding the effective use of models, strategies, processes, etc. Manage various projects simultaneously Ideal Experience for the Analytics Consultant: Strong academic background, degree in a related area – Mathematics, Statistics, Operational Research, etc. Core analytics experience – IRB, Basel II, IFRS9, Customer Risk Life Cycle exposure Experience working with transactional data Strong analytical & problem solving skills Knowledge of Java, C++, R, Python, Scala or similar Knowledge of scoring, model development (especially predictive), quantitative analysis, etc. Excellent communication skills

Compliance Assistant

Gibraltar

£30,000 - £35,000

This is a great opportunity for someone to join the business as a compliance assistant, who has compliance related experience and is looking to further their knowledge and skills within the financial services industry. KEY RESPONSIBILITIES Ensuring compliance with GFSC rules, GDPR and Money Laundering Regulations Overseeing the monitoring of regulatory developments, which include assessing and ensuring appropriate controls are put in place for changes that impact the firm Ensuring the adequacy of the firm's money laundering and terrorism financing systems and controls via regulatory monitoring reviews Assisting in the execution of the firm’s Annual Compliance Monitoring Programme Completing compliance monitoring reports which present findings and include suggestions for relevant remedial actions, in a clear, accurate and consistent manner Escalating risks and issues to the Gibraltar Head of Risk & Compliance and / or the Group Head of Enterprise Risk Assisting in ensuring that regulatory returns are submitted within set deadlines Reports include annual Statement of Compliance and Financial Crime Returns Assisting in delivering appropriate compliance training to employees Assisting in signing off Financial Promotions Other duties as maybe directed and required by the firm KEY COMPETENCIES Strong analytical, written/verbal communication, interpersonal, and relationship Building skills Ability to work effectively within a team Ability to manage various assignments and to quickly adapt to change Self-motivated, flexible, and capable of working to deadlines, independently and as a part of a team Build, develop, and maintain strong relationships QUALIFICATIONS: Educated to degree level (preferable but not essential) SKILLS: Strong administrative experience, attention to detail and good organisational skills Good interpersonal skills, strong IT skills particularly Word and Excel Able to manage priorities and time efficiently Able to work with minimum supervision Confident user of Microsoft Office with good keyboard skills A pro-active person who has an eye for detail and is confident enough to suggest Improvements to the existing processes Understanding of the end to end KYC and client on-boarding processes KNOWLEDGE AND EXPERIENCE: Good knowledge of the regulations governing the Gibraltar Financial Services Industry Demonstrable experience in compliance monitoring Strong communication, report writing and presentational skills Ability to produce timely and accurate reports delivering key issues and messages with minimal managerial input Ability to take ownership and responsibility for timeliness and quality of delivery of monitoring reports Ability to summarise regulatory change in a format that is understandable to its audience The tasks listed are not meant to be exhaustive and you may be asked to undertake other reasonable tasks of a similar nature

Head of Compliance - Insurance

Oxfordshire

£70,000 - £90,000

A newly created role due to further growth and success of the business. The objective of this role is to lead the Compliance team and to provide advice and guidance to key stakeholders and lead a team of Risk & Compliance partners to ensure that risks and issues across all businesses are appropriately identified and managed. Responsibilities: Engage with stakeholders on BAU and change activities within the business to ensure compliance if maintained and developed Manage the implementation of the compliance framework across operational and change activities Lead and motivate the compliance team in their advisory and assurance activities and personal development Work with stakeholders, directly and through the compliance team to propose and agree actions required to mitigate key risks Provide advice and support which enables management to make informed decisions which reflect regulatory expectations and risks Enhance and maintain an effective compliance culture Lead and oversee delivery of Compliance training and awareness activities Leading the Business Risk and Sales Quality Teams to provide assurance to the business Represent compliance at relevant meetings and committees and third party providers and partners Key Competencies: Strong technical background of FCA regulatory requirements across General Insurance – ideally in a distribution company Strong understanding of a range of compliance frameworks Strong communication skills, both orally and in writing across all levels of management Ability to build successful relationships with a number of senior stakeholders Ability to operate effectively within a fast paced organisation Ideally have experience of advised sales processes

Company Secretary (3 Month Contract)

Manchester

c. £500 per day

Our client is an entrepreneurial and diverse business who are currently recruiting for a Company Secretary. The role will be responsible for ensuring that board procedures are followed and regularly reviewed and provide guidance to the board on their responsibilities. Key Responsibilities: Maintaining the respective legal entities’ statutory registers or books Filing of annual returns, directors’ reports, auditors’ reports, financial statements and details of the companies’ assets and liabilities at Companies House and other relevant regulatory bodies If/where applicable, be responsible for compliance with the requirements of the Stock Exchange or other share exchanges, management of the companies’ registrars and compliance with the Combined Code of Corporate Governance Arranging meetings of the directors and the shareholders by the issuing of proper notices, preparation of agenda, circulation of relevant papers and taking and producing minutes to record the business transacted at the meetings and the decisions taken Informing Companies House of any significant changes in the companies’ structure or management, for example the appointment or resignation of directors Establishing and maintaining the companies’ registered office as the address for any formal communications. Oversight of company secretarial matters, including delegation to and management of external service providers for these matters Formation of new companies and dissolution of unwanted entities Key Requirements: Ideally held the office of Company Secretary previously or has operated at Assistant Co Sec and is keen to step up Planning, organisational and time management skills Strong written and verbal skills

Company Secretary

London

£90,000 - £100,000

We have an exciting opportunity for a Company Secretary to join a leading International Insurance Business based in the City. The role would suit a collaborative, positive team player who values working in a collegiate culture focussed on the delivery of excellent customer service. Key Responsibilites: Providing subject matter expertise and advice in matters of corporate governance and company law to executive management and boards Monitoring changes in relevant company legislation and the regulatory environment and making necessary proposals Supporting board and committee Chairs before, during and after meetings with advice to ensure appropriate running of meetings and consideration of the most appropriate topics Facilitating and, as required, carrying out board evaluation assessments Organising and preparing agendas and board packs Collating and distributing meeting packs; paper or electronic Attending and advising in board/committee meetings and producing high quality minutes Identifying, circulating and monitoring delivery of actions/matters arising from meetings, and delivering own actions Maintaining and communicating the board/corporate calendar and individual meeting schedules Assisting with the preparation of sections of relevant Annual Reports and regulatory returns Arranging AGMs, including notices, proxies, rotation and (re-)election of Directors Maintaining relevant governance framework documents, including governance maps, terms of reference, policies, constitutional documents, attendance records, minute books, Director training records and conflicts registers Working with Compliance function in taking necessary steps to obtain and maintain necessary regulatory approvals for Directors, including assisting in carrying out annual fitness and propriety checks. Organising, and delivering appropriate elements of, Director induction and refresher training. Developing and maintaining the Directors manual Identifying and monitoring training requirements for Directors in liaison with Compliance function and senior management Developing and maintaining a department procedures manual and well controlled department processes Maintaining statutory and regulatory records, including registers of members, directors and secretaries, and filings to Companies House Arranging Director appointment letters and payment Ensuring timely maintenance of the corporate database Blueprint and other internal systems Liaising with board members, local and internationally based colleagues, and external regulators and advisers when necessary Managing a Company Secretary Assistant, including training and development AD HOC Duties As requested by your Line Manager or relevant Board Director, performing reasonable ad hoc duties within the Job Holder’s capabilities. Education Educated to degree level or equivalent (preferably law degree) ACIS or FCIS with appropriate practical experience Experience Previous company secretarial experience to include board support and company administration experience, preferably in Insurance/Financial Services environment Proven track record of working effectively with business colleagues at senior management level A previous Company Secretary or experienced Deputy Company Secretary ready for the next step Knowledge and Skills Collaborative, positive and a good team player. Contributor to positive and collegiate culture. Knowledge of UK company law and administration and corporate governance requirements essential. Global knowledge desirable or willingness to learn necessary requirements in role Experience of insurance or wider financial services industries and knowledge of regulatory requirements an advantage Excellent written and verbal communication skills Good stakeholder management Highly organised, reliable and efficient Computer literate with a good knowledge of relevant software: BoardPad/Diligent, Blueprint and Microsoft Office including Excel, Word, Outlook and PowerPoint Professional and confidential with excellent attention to detail Experience from within the insurance industry This role does not require any listed company experience or knowledge

Tax Consultant (share schemes)

London

£45,000 – £55,000

A consulting firm offering tax services to both professional firms and directly to entrepreneurs, businesses and individuals. The Role: Our client is looking for a confident, organised and motivated person to work with the Director specialising in employee share schemes and reward, as part of a wider team specialising in OMB tax. The role takes in all aspects of employee share incentives, including scheme design, valuation, scheme drafting and advising clients undertaking transactions. Our work ranges from advising on straightforward EMIs and other statutory share schemes to structuring growth shares and assisting clients wishing to settle complex EBT structures. Duties and accountabilities: Provide technical advice and support to clients of the firm on employee share schemes and related issues Participate in the design and implementation of employee share schemes and assist with the associated reporting obligations. Work in collaboration with the Director to build awareness and recognition in the market of the Employer Consulting offering and to develop and grow the Employer Consulting team. Start to build profile and rapport with clients, whether they are accountants, lawyers, individuals or corporate clients. Develop a network of professional contacts outside of the firm by use of technology and social media. Make time to keep up to date with tax journals, HMRC announcements and maintain a general tax awareness. Skills, knowledge and experience: The suitable candidate will ideally be CTA qualified with post-qualification experience, although they would consider a lawyer with tax experience. Ideally with a background in employment taxes with knowledge of personal taxes. Some experience of corporate taxes would be also beneficial. Experience of dealing with employee share schemes Being able to take telephone queries from fellow professionals on various tax issues involving both tax planning issues and general tax compliance relating employment taxes. A good understanding and awareness of tax compliance requirements.

Financial Crime Analyst (12m FTC)

London

£25,000

An exciting opportunity, initially on a 12 month fixed term contract, the Financial Crime Analyst will provide support to the Group Head of Financial Crime Prevention. This is a varied role would possibly suit a recent graduate with interest / exposure to the financial crime sector. The role main focus will be to: Provide high quality support and decision making in the review outputs of the sanctions screening system, identifying false positive and true matches, in compliance with the Sanctions policy Maintain and develop an effective group response to address financial crime risks. What you will do: Support the Group Head of Financial Crime Prevention to ensure compliance with the Sanctions policy, identifying false positive and true matches Manage cases effectively, maintain quality and compliance standards Pro-actively research relevant sanctions notices Build and maintain effective working relationships with key risk and finance stakeholders at all levels within the group. Provide advice to business stakeholders sanctions related queries Undertake research to identify sanctions matches and escalate Provide support with sanctions screening Your experience will include: Ideally recent graduate. Any previous experience within a KYC/AML Analyst role would be beneficial Ideally experience of working in a regulated FS environment Effective communication skills Able to influence effectively at all levels Good organisational skills Proactive Excellent attention to detail

Compliance File Reviewer

Manchester

£45,000 + Benefits

The role of the Compliance Monitoring Officer is to carry out client file reviews in line with agreed contracts. Although some reviews will be individual cases and of an adhoc basis it is expected that you will also carry out additional remote review days as the schedule requires. The role will involve: To understand and apply firm specific client file review requirements to client file reviews completed, where necessary these firm specific sheets should be updated. To undertake client file reviews for clients from the company office, on occasion it may be appropriate that these are carried out at the client’s premises or any other location to be agreed as needed by the business. To produce file review assessment sheets and reports in line with the company Compliance File Review Consistency programme, whilst meeting the requirements of the quality assessment programme. To act with professionalism at all times when dealing with clients and colleagues. To advise the company of any assistance required in order to meet the objectives, KPI and key requirements of the role. Be adaptable to the development of the role Key Requirements: Minimum of QCF Level 4 Diploma qualification with a desire to continue to study through to level 6 Minimum of 2 years working within a compliance monitoring role.

Interim Financial Reporting Accountant

Cheshire East

Up to £600 per day

My Client, a niche Financial services business, who are going through rapid expansion require an Interim Financial Reporting Accountant for a minimum 6-month contract. Reporting to the Head of Financial Reporting key responsibilities include: Responsibility for the leading the planning & preparation of statutory accounts, including consolidated accounts under IFRS, FRS101 and FRS102. Responsibility for quarterly external reporting to agreed deadline. Responsibility for engagement with external audit Responsible for drafting papers for the Group CFO, Audit and Risk Committee and External Auditors Provision of technical expertise in preparation of analysis & reporting under International Financial Reporting Standards Management of senior stakeholders around the group Essential Skills and Qualifications include: Qualified ACA / ACCA or similar with experience in producing group and multiple subsidiary accounts Highly organised and efficient with an ability to work under pressure and deliver to agreed deadlines IFRS knowledge and IAS39/IFRS9 financial instruments experience Strong communication, collaboration and stakeholder management skills Strong focus on the quality of work with attention to detail Good knowledge of Microsoft Office products

Training and Competence Supervisor

London

£35,000 - £45,000

Training and Competence Supervisor position with a Fintech start up involved in the UK mortgages market. You will be responsible for; Support the end to end regulatory, compliance and risk framework Carry out file review checks and call observations Live & breathe the T&C standards, identifying development opportunities, providing training and support where required Drive a compliance culture within the business and all the culture associated with managing the customer experience Drive continuous improvement or influence change where relevant Ensure any exceptions are managed appropriately, manage audit trail, track rectification activities to satisfactory conclusion Escalate issues or suspicions to appropriate contacts in an effective and reliable manner Operate as internal expert in this field, ensuring your capabilities and qualifications as well as understanding of industry requirements are constantly at the highest possible level Requirements; Either CEMAP or MAQ equivalent full qualification Minimum 12 months previous T&C supervisory experience in a regulated mortgage environment is a prerequisite for the role Sound knowledge within Financial Services with an emphasis on compliance and T&C functions Good understanding of FCA Mortgage and Insurance regulations Drive for achieving high standards of compliance/adherence Strong communication and relationship building skills

Data Protection Manager - Insurance

Oxfordshire

£55,000 - £65,000

A newly created strategic Group role to provide policy, procedures, guidance and oversight for this Group of successful companies on all aspects of Data Protection. Responsibilities: Develop and implement a strategy for Data Protection legislation adherence – including oversight and testing of data protection and information security controls and processes Ensure procedures and processes adopted by the business comply with legal and regulatory requirements, optimise business objectives and minimise business risk Manage and maintain an effective Data Protection framework including oversight and monitoring Continuously assess and provide assurance on the regulatory risk for the Group and identify and implement appropriate mitigating factors Oversight of the Subject Access Request process and quality control procedures Responding to regulators with appropriate quality and standard and within mandated reporting schedules Analyse, manage and monitor DP risks Ensure appropriate risk reporting and escalation processes are in place for all DP related matters within the business Identify solutions to resolve potential regulatory barriers to commercial objectives Build and manage key stakeholder relationships Oversee the SAR process Key Competencies: Possess sound technical understanding of data protection laws and regulations and be the sole source of technical expertise on DP reporting to the Group Compliance Officer Understand GDPR and provide relevant guidance about its impact Significant experience of Data Protection within the financial services industry Holder of ISEB certification or relevant professional DP qualification Good level of risk management risk mitigation Good understanding of IT processing and systems Keep ahead of legislation, professional and technical change understanding implications and shares this effectively with others Be able to provide clear, pragmatic advice Able to effectively assess priorities and deadlines Strong influencing skills, especially at executive level Comfortable working as a change agent at all levels Good communication and negotiation skills coupled with the ability to build successful relationships Commercial acumen Decisive, resilient, detail focused and professional

Head of Risk & Compliance - Mortgages

London

£90,000 - £100,000

Newly created position within a digital mortgage broker offering remortgage solutions online. Responsibilities: Manage and lead the Compliance team Develop and deploy the Operational Risk management strategy and framework Oversee the training of all Mortgage Advisors Supervise the monitoring and testing of regulatory compliance control effectiveness by performing reviews Work closely with the COO to understand agreed development needs for Advisers Accurately compile reports such as KPIs, KRIs and Conduct Risk etc Undertake projects as and when required, to support the needs of the business or to achieve functional objectives Conduct second line approval for the business for the development of new products Key Competencies: Ideally minimum 3 years’ experience in a Mortgage compliance and preferably with experience of Operational Risk CeMAP qualified You must be able to challenge business products and processes to ensure regulatory compliance and have the ability to manage and influence regulatory and senior management relationships You are passionate about innovative finance products Customer focused and motivated by positive customer outcomes Natural solution creator Ability to work on several projects and under tight deadlines

Sales Advisors (Life Insurance)

Southport

£16,000 - £18,000

Hours: Monday to Thursday between the hours of 10.30 am – 7pm and Friday 9am – 3pm Are you looking to work in a new, fun and vibrant office? Have you got 2 years of outbound sales experience? Do you have the desire and passion to progress? Do you want to earn uncapped, realistic commission? Do you want to work for an organisation who reward you for your hard work? If your answers to the above questions are “yes”, then please read on as this job could be for you… My client is looking for Sales Advisors to make warm calls that have been sent through from warm leads received from a number of referrals. Responsibilities: Making outbound warm sales calls and receiving inbound calls to/from potential customers Conduct a detailed fact-finding questionnaire with customers and check their eligibility for life insurance Offer advice on different insurance and financial products Adhere to strict DPA policies Work towards realistic sales and quality SLA’s and targets Inputting customers information accurately into the in-house system Desired Skills & Experience: Previous experience in an FCA role (this is not essential as full training will be given) Preference to have 2 years of experience of working in an outbound call or contact centre Have the ability to overcome objections Have the ability to close the deal Be articulate and a polite telephone manner Capture data accurately and input into the in-house system Excellent soft skills Essential Criteria: To have a passion to succeed To have excellent work ethics Be money motivated and have a desire to earn lots of commission

Compliance Officer – Consulting firm

London

£40,000 - £50,000

Reporting to the Compliance Manager, you will assist in carrying out regular monitoring in various business areas, in line with the firm’s monitoring programme. Responsibilities: Monitoring: Carry out regular monitoring of the Financial Services business including; - reviewing advice given to clients, which cover all retail investment products - reviewing the sale of group risk schemes and products - ensuring any remedial action arising from this monitoring activity is completed within a timely manner - recording any rule breaches arising from this monitoring, investigate the issues arising and report the outcome - reviewing the winding up of occupational pension schemes Reporting: Take responsibility for the timely production of the following reports arising from the monitoring activities: - Producing individual file review feedback reports for advisers, including remedial action requirements where necessary - Producing relevant management information and trend analysis - Producing monitoring reports to the firm’s standard templates, in a timely manner Compliance guidance and advice: Provide advice and guidance to the business in respect of the firm’s compliance requirements as required; including: - Assist in the review and approval of marketing material, including FCA financial promotions - Assist in ensuring that compliance department procedures manuals are updated as and when required Regulatory Matters such as completing FCA disclosure documents, research into new regulations or legislation and maintaining an up to date understanding of FCA regulations Key Competencies: An industry qualification would be an advantage or willingness to undertake relevant study Preferably degree educated Knowledge and experience of compliance monitoring in the areas of pensions, life assurance and retail investments, preferably in the IFA market FCA handbook knowledge around COBS, ICOBS and PERG An interest in maintaining up to date knowledge of the rules, regulations and guidance provided by the FCA in all aspects in the IFA market

Data Governance Lead (18 month FTC)

Manchester

£55,000 - £65,000 + £5,500 Car Allowance + Benefits

Job Description: Manage stakeholders up to Exec level for all data activity within span of control Create and maintain frameworks to support the data strategy Represent the bank within the data community to ensure the Bank maintains its reputation for excellence within the industry Produce a range of data and documentation to ensure that data objectives are fully and effectively monitored. That high quality reports on progress and budget are produced in line with requirements, and that information is interpreted and communicated to all necessary individuals. Monitoring to agreed time, budget and quality. Acting as an escalation point to resolve issues Present and influence at a senior level Maintain knowledge of regulatory and legal requirements relevant to the role. Support and promote compliance with those requirements within the role and the business To lead, develop, maintain and review data processes where data quality issues are highlighted Lead in the creation and maintenance of data quality metrics, measures, targets and tolerances. Highlight and prioritise data quality issues Monitor data cleansing activities Engage in and influence all data related change activities Develop an in depth understanding of the needs of the business both current and future in order to anticipate potential governance changes Provide passionate intelligent leadership in order to establish a vibrant exciting high performance culture Seen as expert on data management issues. Key Requirements: Significant specialist knowledge of data management methodology, Inc. governance, quality and architecture Able to define, re-engineer and review processes Significant knowledge of commercial, financial, legislative and regulatory requirements, including data protection legislation and FS regulation.

Business Development Manager

United Kingdom

£30,000 - £32,000

My client is looking for a Sales lead to target the Financial Services sector, particularly broker firms and SME lenders to continue the growth of the proposition and to manage the existing clients on this platform. Responsibilities Working closely with the team as well as liaising with the wider BD team with a focus on both existing and new clients Working closely with the Director of Business Development to implement the sales strategy to hit their growth targets. Supported by SMEs within Blue-chip as well as where necessary Solution Architects and Bid Management, the role requires the gathering of requirements and presenting appropriate solutions to clients. Writing compelling proposals for clients which clearly articulate client differentiators, key win themes and compelling pricing and deal structures. All of this is expected to be within the agreed pricing structure for the proposition and in a compliant manner. Networking across the client base to identify new opportunities and key decision makers to sell further products and services. Actively promoting client product offering as a thought leader in industry events, conferences, focus groups etc. Ensure high quality and regular reporting on sales activity and sales pipelines using CRM and other systems and processes. Working closely with the team, marketing, and other colleagues across the group to ensure solutions presented to clients are workable. Skills, Knowledge & Experience Outstanding track record of selling and growing revenue. Referenceable and demonstrable expertise in software and wider sales ability. Strong on detail and the ability to multi-task. Ability to change and adapt when the client, market or business requires. Resilience and determination to succeed under pressure. Evidence of being in a high pressure role where delivering sustainable and profitable growth are key. Strong people skills and communication. A leader and master communicator that results in powerful levels of persuasion. Experienced in working in a matrix sales environment, that requires working with other sales teams across multiple product and service lines. Speed - ability to build credibility quickly. Confidence - comfortable with networking and public speaking.

Complaints Team Manager

Watford

£300 per day

3 Month Contract Hours: Monday to Thursday 8am-5pm and Friday 9am-1pm My client is looking for an experienced Complaints Team Manager to support a team of Complaint Handlers within a business who want to reduce a backlog of complaints. The successful Team Manager must have managed both contractors and permanent staff previously within a Financial Services environment and be focussed on achieving quality and productivity standards. Responsibilities: Managing a team of complaint handlers who are dealing with both telephone complaints and writing bespoke responses to written complaints Carrying out full reviews of complaints handlers cases in line with company policy and FCA guidelines Giving feedback to complaint handlers and QA’s Ensuring all complaint handling activity meets agreed SLA’s Maintain excellent knowledge of FCA regulation and related principles Providing coaching and feedback to complaints handlers Dealing with escalated complaints Desired Experience: Previous experience of managing a team of permanent and contracted complaints handlers Knowledge of DISP handling rules Strong analytical skills and a high level of commercial awareness; be able to understand, question and challenge business processes, identify cause and effect and deliver attractive solutions Ability to write bespoke letters without being reliant on standard paragraphs and processes Financial Services experience

Customer and Credit Control Team Manager

Cheshire West and Chester

£19,000 - £22,000

Hours: Monday - Friday, 9am - 5:30pm This role will be responsible for leading the Customer Finance Team and ensuring all tasks are completed to appropriate deadlines. Assisting the team with day to day issues, ensuring the appropriate training is provided and the completion of monthly 1-2-1’s/half yearly appraisals. The role’s primary responsibility will also be the completion of the Owner Debt process to ensure debt is collected in a timely, professional and efficient manner. About you: Essential Experience: Experience working within a Finance/Accounts Department Experience managing a team Experience in negotiating with customers/individuals not just businesses Strong communication and interpersonal skills Excellent written and oral communication skills Ability to prioritise and organise workloads Ability to work on their own and as part of a team Good attention to detail Friendly approach to all members of the organisation Professional approach to Owner/Customer calls Experience working with Excel Strong negotiation skills and commercial mind-set Desirable Experience: Experience with the production of reports Debt collection experience Credit Control experience Conflict resolution experience and/or training Previous experience in a customer-facing role Experience with other elements of Finance Administration Personal attributes: Living by our Values of: Driving Innovation and Change, Achieving Together, Communicating Honestly, Growing and Learning, Earning Trust Other personal attributes are: Excellent written and interpersonal skills and the ability to challenge constructively. Effective team working and networking skills and the ability to work independently using own initiative. The ability to plan, prioritise and organise workloads. Confident communicator – strong empathy, friendliness and a positive demeanour. Results focused, understanding what is important to the business, the owners and to the customer Flexible/Adaptable to change. About the role: Core accountabilities: The post holder will be a constant role model for the companies values, and ensure they become a way of working for the whole team giving every customer (internal and external) a ‘World Class Customer Experience’. Their role includes identifying, sharing and spreading best practise throughout the business, and demonstrating excellent teamwork. They will ensure that all decisions are based on the achievement of the Company Strategic Pillars. They will be accountable for delivery in the following areas: Support the Customer Finance Team to provide the best experience to Customers. Lead the Customer Finance Team ensuring day to day issues are rectified efficiently and professionally. Ensuring the appropriate Training is provided for the Customer Finance Team. The collection of outstanding debt from Owners/Customers in an efficient, timely and professional manner. Ensuring spreadsheets and documentation in relation to debt are completed accurately and to set deadlines. Providing support to others within the Finance Admin Team during busy periods (ie month end, sickness and holidays). Any other duties as are within the scope, spirit and purpose of the job as requested by your line manager. Note: This Role Profile reflects the present requirements of the post. As duties and responsibilities change and develop the role profile will be reviewed and be subject to amendment in consultation with the post-holder. Role Responsibilities: This is a highly varied role with responsibilities including but not limited to: Lead on the resolution of customer queries/refunds via telephone, email, call backs and workflows. Lead on all tasks associated with Customer Finance as follows:- Applying marketing discounts to bookings Daily internal and external post preparation and distribution (incl PNO packs) Issuing of ferry tickets via post/email Collection of customer debt Credit/partner bookings Reviewing ad-hoc adjustments made to customer accounts Supporting team with resolutions to resolving customer queries Primary Responsibility for Owner Debt and Customer Debt Processes Working alongside other departments to resolve queries and improve processes (e.g. contact centre/IT) Building and maintaining good relationships with other departments through weekly updates Completion of the monthly insurance report Completion of monthly 1-2-1 meetings and half yearly appraisals Completion of regular Customer Finance team meetings/updates Ad-Hoc duties as identified by the Finance Manager. Key performance Indicators: Effective Team Leadership Timely collection of owner debt Resolution of customer refunds/queries Management of customer/owner debt process and associated queries Provide timely/accurate assistance for all aspects of Customer Finance and owner debt collection Benefits 28 days holiday (including bank holidays) Annual bonus scheme Staff pension Private Medical Death in Service payment Subsidised park and ride passes Enhanced maternity and paternity pay Long service awards - cash payments and increases in holiday allowances Staff discount on cottage holidays Free worldwide travel insurance (including family members) Wellness extras, including free annual flu jabs, reflexology sessions and free fruit supplied in the office

FOS Complaints Handler

East Midlands

£18,000 - £22,000 + Benefits

Financial services firm, located in the East Midlands are looking to significantly expand their Complaints division with a number of positions including 2 FOS Complaints Handlers. The role will be responsible for ensuring all complaints are dealt with correctly and in line with FCA regulations. In terms of location, the business are easily commutable from Leicester, Derby, Nottingham, Mansfield and Burton upon Trent. Key Responsibilities: Accessing and updating various business systems to pull specified data into a central file and subsequent issue to the FOS Responding to data requests/queries via post and email from the FOS and coordinating a response within the Service Level targets set Responsible for the identification, management and mitigation of all risks that have the potential to impact the business’ objectives, including ensuring our customers receive fair outcomes Take an open and proactive approach to risk management and escalate all risk related issues to management for awareness and opportunity to support resolution Be aware and comply with all applicable legal and regulatory requirements Provision of a compliant complaint handling process to customers and the FOS Make sure proper market conduct standards are adhered to Key Requirements: Complaints handling experience Experience within financial services Experience working with the FOS would be beneficial but not essential

EDD & BI Researcher – Private Equity

London

£350 - £450/day

A well know Private Equity business are seeking a EDD Researcher to support their Financial Crime & Investment teams with Risk Assessments & Due Diligence report writing with a specific focus on South Asian and African markets. You will be comfortable using the full suite of online and traditional sources to analyse and draft reports for investment opportunities within their markets. You will be commercially minded and be comfortable working both independently and within a wider team. You will have a good understanding for the Financial Crime risks within South Asian and/or African jurisdictions.

Global Markets Surveillance – Vice President

London

£80,000 - £100,000

The Client: One of the world's largest bank and asset servicing company is looking for a Global Markets Surveillance – Vice President with a focus on their Capital Markets business. Responsibilities: The role will be based in the firm’s London office and will have a direct reporting to the EMEA Surveillance SME while being responsible for: Performing daily monitoring and investigation of trade surveillance alerts Promptly escalating and communicating as appropriate, alerts that require supervisor and/or compliance review Maintaining and monitoring a database of remedial actions/recommendations arising from trade surveillance Co-ordinating with on-site developers and business analysts to implement any code additions/changes Assisting in the development of a surveillance operating model by providing recommendations for escalations and workflow on an alerts basis Packaging and presenting management information for periodic review by the Surveillance Governance Committee Analysing and reporting on trends seen in the daily process to senior supervisors Actively participating in investigations into incidents arising as required Assisting compliance with regulatory, internal or client requests Qualifications Strong experience in a compliance trade surveillance role/front office trading role/front office supervisor role Experience in both trade and communications surveillance Knowledge of at least two of the following, Equities, Fixed Income, Derivatives and/or FX Familiarity with global regulation and industry best practices aimed at mitigating market manipulation and employee misconduct

Interim Financial Controller

Cheshire West and Chester

Up to £600 per Day

My Client, a niche financial services business, who are going through rapid expansion require a qualified accountant to support the Head of Finance in preparing the year-end financial and statutory reporting. Key Responsibilities include: Leading Financial Reporting Implementing financial control and financial accounting changes Supporting the implementation of a Treasury / ALM from a Financial Control perspective Supporting the Regulatory Reporting work stream from a Group Finance perspective Reviewing savings data and interest calculations and designing financial control and accounting processes Implementing changes to existing processes and co-ordinating with group and divisional finance Liaising with internal and external advisors on tax and VAT implications Liaising with internal stakeholders and external auditors Representing Group Financial Reporting at project meetings and with stakeholders. Coordinating implementation with the project teams, divisional finance teams and operational areas Assisting group finance with ad-hoc requests as required Essential Skills and Qualifications include: High calibre and can work with minimal direction Chartered Accountant. Would suit big 4 ACA with 7-10 years PQE, but could also be a qualified accountant with significant Financial Services experience Technical accounting and financial accounting experience, including IFRS 9 Strong stakeholder management skills Ability to communicate clearly, in particular with producing Board and Committee papers Pragmatic, problem-solving approach

Travel Sales Advisor

Cheshire West and Chester

£17,000

Hours: Full time and part time hours between 9am – 9pm including weekend work Start Date: 9th July 2018 Job Description: Are you a highly motivated sales person? Are you passionate about delivering fantastic service to achieve your goals? Do you thrive on achieving targets for great rewards? Then we have the PERFECT role for you…! We are looking for driven and motivated people to join our Sales Team as a Travel Sales Advisor. Our team is dedicated to helping our customers find their ideal holidays through outstanding service and knowledge, alongside maximising sales for the business. We always go the extra mile for our customers to ensure we stand out from the rest. Our Travel Sales Advisors take calls from our customers who are looking for help and advice in booking their holidays. We also liaise with our owners to ensure we are getting the best results for their businesses. We look to convert these calls into bookings by ensuring we get the right package for our customers. We are looking for applicants who have a proven record in achieving/exceeding targets in a sales role, as well as having excellent communication skills. Due to our business growing we run new induction training courses several times a year, so send us your CV and you could be joining our multi-award winning company!!! Our next induction training starts on the 9th July 2018, but we will also have dates later in the year!! Useful things to know The role will be based in our new offices in Chester, within walking distance of the train station. Our Sales team is a busy part of the business, but has a great team atmosphere and we have lots of fun while we work! We also believe in rewarding hard work, and offer a great benefits package on top of basic salary including: Starting Salary £17,000, increased after probation period, plus OTE of up to £400 per month, that's over £3,000.00 a year! Discounted holidays for you and your friends and family Full training and coaching provided Award winning, innovative, rapidly expanding company with fantastic new offices adjacent to public transport hub Working on a rota basis which is planned 4 weeks in advance so you can plan your work/life balance Private Medical (for you and family) Death in service payment Pension Free worldwide travel insurance (for you and family) Long service awards Wellness extras - free flu jabs, reflexology sessions and fruit available in the office

Paraplanner

Manchester

£30,000 - £35,000 + benefits

The role will involve: Identifying and calculating potential tax benefits/charges to clients Investment portfolio analysis, including asset allocation analysis, in line with clients stated attitude to risk Ensuring client files comply with the company business quality standards Assisting the Advisers in research and compilation of compliant, bespoke client reports Aiding advisers in achieving their fee income targets Compiling investment / pension / protection illustrations, projections and associated documentation Preparing client service agreement letters Key Requirements: Have secured a number of financial qualifications and striving towards the certificate in Paraplanning Have previous experience of working as a Paraplanner Feel confident working alongside one or more advisers offering relevant advice based on new and existing client queries

Analytics Consultant

Glasgow

£40,000 - £70,000 Dependent on Experience

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, you will work with clients across the EMEA region to deliver analytic solutions, travelling up to 75% of the time and working from home the rest. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Build and integrate mathematical optimisation models Design and create reports, visualisations, etc. Manage medium to large scale projects Develop analytical processes to enhance tools, techniques and offerings Communicate the benefits of applying solutions to real business problems The ideal candidate for this Analytics Consultant opportunity will have: Masters Degree in a related field, eg. Industrial Engineering, Statistics, Mathematics, Computer Science, etc. Hands-on experience with mathematical optimisation software Experience with model development platforms and programming languages such as C/C++/C#, Java, Python, etc. Experience writing database SQL queries Experience of designing solution architecture / technical infrastructure HTML, Javascript or Tableau experience would be an advantage Familiarity with predictive modelling techniques is desirable

Analytics Consultant

Leeds

£40,000 - £70,000 Dependent on Experience

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, you will work with clients across the EMEA region to deliver analytic solutions, travelling up to 75% of the time and working from home the rest. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Build and integrate mathematical optimisation models Design and create reports, visualisations, etc. Manage medium to large scale projects Develop analytical processes to enhance tools, techniques and offerings Communicate the benefits of applying solutions to real business problems The ideal candidate for this Analytics Consultant opportunity will have: Masters Degree in a related field, eg. Industrial Engineering, Statistics, Mathematics, Computer Science, etc. Hands-on experience with mathematical optimisation software Experience with model development platforms and programming languages such as C/C++/C#, Java, Python, etc. Experience writing database SQL queries Experience of designing solution architecture / technical infrastructure HTML, Javascript or Tableau experience would be an advantage Familiarity with predictive modelling techniques is desirable

Analytics Consultant

Manchester

£40,000 - £70,000 Dependent on Experience

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, you will work with clients across the EMEA region to deliver analytic solutions, travelling up to 75% of the time and working from home the rest. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Build and integrate mathematical optimisation models Design and create reports, visualisations, etc. Manage medium to large scale projects Develop analytical processes to enhance tools, techniques and offerings Communicate the benefits of applying solutions to real business problems The ideal candidate for this Analytics Consultant opportunity will have: Masters Degree in a related field, eg. Industrial Engineering, Statistics, Mathematics, Computer Science, etc. Hands-on experience with mathematical optimisation software Experience with model development platforms and programming languages such as C/C++/C#, Java, Python, etc. Experience writing database SQL queries Experience of designing solution architecture / technical infrastructure HTML, Javascript or Tableau experience would be an advantage Familiarity with predictive modelling techniques is desirable

Analytics Consultant

Birmingham

£40,000 - £70,000 Dependent on Experience

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, you will work with clients across the EMEA region to deliver analytic solutions, travelling up to 75% of the time and working from home the rest. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Build and integrate mathematical optimisation models Design and create reports, visualisations, etc. Manage medium to large scale projects Develop analytical processes to enhance tools, techniques and offerings Communicate the benefits of applying solutions to real business problems The ideal candidate for this Analytics Consultant opportunity will have: Masters Degree in a related field, eg. Industrial Engineering, Statistics, Mathematics, Computer Science, etc. Hands-on experience with mathematical optimisation software Experience with model development platforms and programming languages such as C/C++/C#, Java, Python, etc. Experience writing database SQL queries Experience of designing solution architecture / technical infrastructure HTML, Javascript or Tableau experience would be an advantage Familiarity with predictive modelling techniques is desirable

Analytics Consultant

London

£40,000 - £70,000 Dependent on Experience

A fantastic consultancy opportunity with an established, globally recognised data analytics company. Whilst a UK-based vacancy, you will work with clients across the EMEA region to deliver analytic solutions, travelling up to 75% of the time and working from home the rest. This Client does not provide sponsorship. Key Responsibilities of the Analytics Consultant: Build and integrate mathematical optimisation models Design and create reports, visualisations, etc. Manage medium to large scale projects Develop analytical processes to enhance tools, techniques and offerings Communicate the benefits of applying solutions to real business problems The ideal candidate for this Analytics Consultant opportunity will have: Masters Degree in a related field, eg. Industrial Engineering, Statistics, Mathematics, Computer Science, etc. Hands-on experience with mathematical optimisation software Experience with model development platforms and programming languages such as C/C++/C#, Java, Python, etc. Experience writing database SQL queries Experience of designing solution architecture / technical infrastructure HTML, Javascript or Tableau experience would be an advantage Familiarity with predictive modelling techniques is desirable

Sales Advisors (Equity Release)

Horwich

£16,000 - £18,000

Are you looking to work in a fun and vibrant office? Have you got outbound sales experience? Do you have the desire and passion to progress? Do you want to earn uncapped commission? Do you want to work for an organisation who reward you for your hard work? If your answers to the above questions are “yes”, then please read on as this job could be for you… My client is looking for Outbound Sales Advisors to make warm calls and chase up warm leads sent from a number of referrals via different sources. The aim of your role is to make telephone appointments for the internal Advisors. Responsibilities: Making outbound warm sales calls to potential customers Conduct a detailed fact-finding questionnaire with customers and check their eligibility for financial products Go through credit searches and land registry searches for your customer Adhere to strict DPA policies Have the ability to identify potential vulnerable customers and deal with them accordingly Deal with ad-hoc customer service enquiries Work towards realistic sales and quality SLA’s and targets Inputting customers information accurately into the in-house system Desired Skills & Experience: Previous experience in an FCA role (this is not essential as full training will be given) Preference to have experience of working in an outbound call or contact centre Have the ability to overcome objections Articulate and a good telephone manner Capture data accurately and input into the in-house system Excellent soft skills Adaptable to change Hours: Monday to Friday between the hours of 9am to 5.30pm, plus 1 late shift 12pm – 8pm. No weekends.

Collections & Recovery Officer

Essex

£25,000 - £30,000

My client is looking for a Collections & Recovery Officer to work closely with third party service providers, responsible for the key strategic decisions on more serious arrears. The Commercial portfolio is a combination of residential and business mortgages. To ensure that the strategy adopted mitigates against losses from bad debt whilst complying with the regulatory requirements the Bank operates within. Responsibilities: Responsible for making the key strategic decisions and recovery of arrears on more serious arrears cases across the Commercial Mortgage portfolio. Direct contact with the customer will also be required from time to time by either telephone or face to face. To comply with the requirements of the regulatory regime within which the bank operates whilst ensuring the necessary documentation detailing strategies and policies are kept up to date. Interact daily with external contacts to include solicitors, asset managers, receivers and independent customer account managers and escalate any issues to the Senior C&R Manager. To monitor compliance with all SLA’s addressing issues when required and escalating where necessary. To provide cover in the absence of the Senior C&R Manager. This will include, production of MI and attendance at meetings to provide a performance update, this may include the Commercial Risk Director. Knowledge & Experience: Educated to a GCSE (or equivalent) standard Proven track record and at least 2 years’ experience in dealing with collections/litigation accounts in a banking environment or equivalent in the commercial or residential mortgage industry Knowledge of the commercial or residential mortgage business is essential Understanding and awareness of DPA / GDPR and legislative requirements Able to work on own initiative and to contribute to the C&R team objectives Ability to build productive relationships with internal and external stakeholders

Sales Advisors (Mortgages)

Horwich

£15,000 - £18,000

Are you looking to work in a fun and vibrant office? Are you looking to move into a sales role with genuine warm leads? Do you have the desire and passion to progress? Do you want to earn uncapped commission? Do you want to work for an organisation who reward you for your hard work? If your answers to the above questions are “yes”, then please read on as this job could be for you… My client is looking for Sales Advisors to make warm outbound calls and chase up warm leads sent from a number of referrals via different sources. The aim of your role is to make appointments for the internal Mortgage Advisors. Responsibilities: Making outbound warm sales calls to potential customers Conduct a detailed fact-finding questionnaire with customers and check their eligibility for financial products Adhere to strict DPA policies Have the ability to identify potential vulnerable customers and deal with them accordingly Deal with ad-hoc customer service enquiries Work towards realistic sales and quality SLA’s and targets Inputting customers information into the in-house system Desired Skills & Experience: Previous experience in an FCA role is preferred but not essential as full training will be given Preference to have experience of working in an outbound call centre (not essential) Have the ability to overcome objections Articulate and a good telephone manner Capture data accurately and input into the in-house system Excellent soft skills Great work ethics and a desire to do well Hours: Monday to Friday between the hours of 9am and 8pm, plus 1 Saturday in 4, working 9.30am – 2.30pm

Sales Advisors (Secured Loans)

Horwich

£18,000 pa

Are you looking to work in a fun and vibrant office? Have you got outbound sales experience? Do you have the desire and passion to progress? Do you want to earn uncapped commission? Do you want to work for an organisation who reward you for your hard work? If your answers to the above questions are “yes”, then please read on as this job could be for you… My client is looking for Outbound Sales Advisors to make warm calls and chase up warm leads sent from a number of referrals via different sources. The aim of your role is to make appointments for the internal Advisors. Responsibilities: Making outbound warm sales calls to potential customers Conduct a detailed fact-finding questionnaire with customers and check their eligibility for financial products Go through credit searches and land registry searches for your customer Adhere to strict DPA policies Have the ability to identify potential vulnerable customers and deal with them accordingly Deal with ad-hoc customer service enquiries Work towards realistic sales and quality SLA’s and targets Inputting customers information accurately into the in-house system Desired Skills & Experience: Previous experience in an FCA role (this is not essential as full training will be given) Preference to have experience of working in an outbound call or contact centre Have the ability to overcome objections Articulate and a good telephone manner Capture data accurately and input into the in-house system Excellent soft skills Hours: Monday to Friday between the hours of 9am and 8pm, plus 1 Saturday in 4, working 9.30am – 2.30pm

BI SQL Developer

Staffordshire

Up to £34,000 + 25 days holiday + benefits

With two well-established market leaders recently joining forces, this major business is the largest of their market in the UK. The company is now looking to expand their BI & Data team with the appointment of an ambitious BI SQL Developer. Key Responsibilities of the BI SQL Developer: Support in building and managing the BI platform Leading BI & Data projects Contribute to the overall data strategy and vision for the business Drive continuous improvements in data quality standards Helping with resolution of data issues Mentor Analysts and junior team members Ideal experience for the BI SQL Developer role: Experience in writing complex T-SQL (Transact SQL) Stored Procedures Microsoft SQL Server 2014 server side development including (SSIS, SSRS, SSAS) Some database administrative experience Experience of Data Warehousing Experience of proactive, problem solving to consider all options but committing to a course of action and delivering the outcome Detailed data analysis and presentation Power BI experience would be advantageous

Compliance Monitoring Manager - Corporate Bank

London

£80,000-£100,000 basic salary + package

Our Client An innovative and dynamic Bank is currently looking to appoint a Senior Compliance Monitoring Manager in their London office. Our client offers a full suite of products and services to developing businesses in the UK, including current and deposit accounts, loans, cash management services, trade finance and foreign exchange. The Bank has had a presence in the UK for over 10 years providing access to financing solutions for some of the highest profile and fastest growing UK-based technology companies. The Role: Providing oversight for the Compliance Monitoring team, you will be responsible for: Managing and performing monitoring activities of regulatory requirements Carrying out compliance research for monitoring activities and any ad hoc requests The design, ownership and creation of monitoring procedures, workpapers and management reports for regulatory areas Responsibility for designing, creating and updating the compliance risk assessments Work with Internal Audit on their reviews and support effective coordination across all business areas including remediation of findings Incident and event management, including risk investigations and reporting Creation and maintenance of risk control frameworks Advice and guidance to the business on risk issues (BAU and projects) Attendance at relevant industry events and forums The ideal candidate should have the following profile: Relevant compliance monitoring ideally gained within a banking environment Solid analytical and issue-spotting Good understanding of the regulatory framework within a bank A strong sense of ethics, sound business judgment and the desire to be a business-orientated problem solver The ability to work on confidential and sensitive matters and exercising good judgement in the execution of the role Industry leadership - the need to stay abreast of industry developments and attend industry events as a representative of the company Bachelor’s degree preferred

Data Governance Lead

Greater Manchester

£55,000 - £65,000 + £5,500 Car Allowance

Our client is a leading financial services business who are currently recruiting for a Data Governance Lead. The role will be responsible for leading the Data Governance team and supporting the Information Risk Owner in progressing Data Governance activities throughout the organisation. Key Responsibilities: Manage stakeholders up to Exec level for all data activity within span of control Create and maintain frameworks to support the data strategy. Represent the bank within the data community to ensure the organization maintains its reputation for excellence within the industry. Produce a range of data and documentation to ensure that data objectives are fully and effectively monitored. That high quality reports on progress and budget are produced in line with requirements, and that information is interpreted and communicated to all necessary individuals. Monitoring to agreed time, budget and quality. Acting as an escalation point to resolve issues. Present and influence at a senior level. Maintain knowledge of regulatory and legal requirements relevant to the role. Support and promote compliance with those requirements within the role and the business To lead, develop, maintain and review data processes where data quality issues are highlighted. Lead in the creation and maintenance of data quality metrics, measures, targets and tolerances. Highlight and prioritise data quality issues. Monitor data cleansing activities. Engage in and influence all data related change activities Key Requirements: Significant specialist knowledge of data management methodology, Inc. governance, quality and architecture Able to define, re-engineer and review processes Significant knowledge of commercial, financial, legislative and regulatory requirements, including data protection legislation and FS regulation

Senior Fraud Analyst

East Midlands

£50,000

Our client is a leading financial services’ business who are currently recruiting for a Senior Fraud Analyst. The role will be responsible for conducting analysis of Fraud data to strengthen to their existing defences and redefine our strategy. Key Responsibilities: Monitor fraud losses, establish root cause and take corrective action Work with other teams across the business (particularly Tech and Marketing) to ensure new products and services include fraud mitigation strategies Build, implement and monitor new fraud tools and strategies from scratch whilst minimising resultant customer impact Work on proof of concepts involving new technologies and proactively seek out vendor and internal solutions to fraud problems Ensure conformance to the credit governance protocols when implementing new strategies and contribute to the annual fraud program Ensuring metrics and controls are fit for purpose in terms of the current fraud environment and emerging threats Work closely with the investigations team to understand threats and in the development of defences Key Requirements: Fraud Analysis experience Strong analytical and numerical skills Stakeholder management experience

Remediation Analyst

Manchester

£25,000 - £30,000

My client is looking for a remediation analyst to ensure they meet its obligation and demonstrates adherence to the remediation framework there is a requirement to have a Remediation Analyst to support the Remediation team with progressing the various aspects of each Remediation work stream. Responsibilities Support Project Managers with implementation of each Remediation work stream Carry out system data extracts and MI production on each work stream Update and verify data in the System for any remediation adjustments required Support the team to retrieve, consolidate, analyse and summarise data to make appropriate business recommendations Populate, update and verify information in the Remediation Database Support Business Analyst in creation and execution of test scripts as part of the project testing phase Support the team in creation of documents that covers the nature of the remediation solution Performing root cause analysis and documenting findings Engage with Clients in technical solutions Present findings, analysis and solutions to key personnel and stakeholders Experience & Knowledge MS SQL would be beneficial. Educated to degree level or relevant experience Good analytical and numeracy skills required. Data analysis skills using Excel to create pivot tables with data breakdowns. Desirable to have knowledge of databases/ MS SQL Desirable to have knowledge of financial billing and consumer credit systems Some experience with data quality management including automated tools. Managing conflicting requirements to resolution Implemented processes and procedures around data and information management Good documentation skills. Good communication and listening skills. Ability to accurately interpret information into logical, concise requirements. Ability to articulate key points/detail and present findings to key stakeholders.

Head of Compliance / MLRO – fintech/ payments

London

£120,000 - £150,000

This role will be responsible for overseeing the day to day running of the regulatory function in a broad and commercially focused manner, ensuring operational quality across a broad range of regulatory activities raised by the Board, internal stakeholders, introducers to the company and customers. The Client- An International digital banking and payment services leader with HQ in London. The group includes two regulated entities - one providing services in the UK and the other covering Continental European markets. The role- Ensure the company operates and respects the relevant regulations such as PSD2, GDPR and various financial crime regulations Anticipate changes and adopt a proactive approach in regards to keeping the company up to date in terms of regulatory preparedness and ownership of policies and procedures Assume responsibility of running the day to day AML activities including management of AML operational staff Prepare the business to be in line with all relevant legislation Manage the operational performance, development and delivery of operational strategy, assessing risks to the business and ensuring policies are implemented to manage these risk and mitigate any potential breaches of regulation Conduct risk assessments against all new services, ensuring the risk is minimised to the Group in regards to AML Investigate any compliance incidents Responsible for assisting External Audit matters relating to compliance, monitoring and regulation – and in collaboration with other Country Managers across Europe Design, in conjunction with HR, any regulatory compliance training required Be responsible for the Regulatory relationships and any other external relationships from a compliance perspective Develop extensive knowledge of current and future products and services to ensure compliance measures are adequate and reduce any risk to the Group Key Requirements- Extensive Compliance and MLRO experience, specifically in payment services and retail / corporate banking Demonstrable and detailed knowledge of FCA rules and regulations, together with European level regulatory initiatives Knowledge of other European regulators would be advantageous Strong Compliance background with exposure to AML and anti-fraud systems Gravitas with excellent relationship building skills with a range of stakeholders Creative / analytical approach to designing solutions Customer focused and ability to collaborate with regional teams across Europe Adaptable, flexible approach to work, using own initiative Ability to work in an exceptionally fast paced environment

Compliance Assurance Officer – Lending / Banking

Hertfordshire

£30,000 - £35,000

The key purpose of this role is to assist the Deputy Head of Compliance and Compliance Assurance Manager in developing and delivering risk based assurance activities. The Client- Specialist lending and retail savings group, listed on the London Stock Exchange and part of the FTSE 250. The role- Support the Deputy Head of Compliance in undertaking robust compliance risk assessments and developing a risk based annual Compliance Assurance Plan Communicate any legal or regulatory changes to key stakeholders in the Bank Plan, execute and report against the Bank’s Compliance Assurance Plan, maintaining accurate records and providing concise written and verbal reports highlighting key issues and recommendations for improvement actions Assisting in the preparation of Compliance Reports for the Board, Audit Committee, Risk Management Committee and Operational Committees of the Bank Assisting in relation to investigations into Compliance related incidents / breaches and the provision of compliance advice on identifying appropriate remedial actions Support HR in the identification of any compliance related training needs, during the course of monitoring activities Contribute towards the development of team related policies, procedures and standards Key Requirements- 12 months experience in compliance Preferably Compliance Monitoring / Assurance experience Ideally bring an understanding of and ability to interpret FCA regulations Financial Services experience would be of great benefit although open to seeing candidates from all industries 12 months experience of exposure to and understanding of commercial functions and operational processes Strong communication skills

Finance Accountant - 9 month contract

London

£300.00 - £350.00

My client is a large International Insurance Organisation offering excellent opportunity for career progression. Reporting to the Head of Finance, the Financial accountant will manage and coordinate monthly and quarterly reporting obligations for the business. In addition, this role is responsible for delivering the end-to-end financial reporting for subsidiaries. Key Responsibilities include: Coordinate and manage the delivery of the quarterly US GAAP and US STAT reporting obligations Keeping key control documents and procedures up to date, ensuring compliance with all financial reporting internal controls and managing the Sarbanes Oxley program. Manage, supervise and develop the team Coordinate and manage the delivery of the monthly US GAAP reporting obligations, half yearly FCA reporting obligations and annual IFRS accounts filing; Stakeholder management Identifying and implementing process improvements to reduce the quarter end close timelines. Ad hoc projects and requests from Director, Financial Control and Head of Finance, Europe and implementing process improvements to reduce the quarter end close timelines. Being a qualified accountant with previous experience in the audit department of a Big 6 accounting firm (Big 4 preferred) ideally with experience of Financial services you will demonstrate the following skills and behaviours: Ability to produce high quality work within agreed deadlines. Ability to manage expectations of managers and external stakeholders. Ability to deal with non-standard requests. Organised, conscientious and deadline focused, with an attention to detail. Self-starter with a desire to develop their technical knowledge and skills. Ability to develop junior members of the team, and encourage ownership and responsibility for their individual tasks Strong Excel skills with knowledge or using advanced formulas, pivot tables and the ability to manipulate large complex spreadsheets and data sources.

Financial Accountant

East Midlands

Flexible

MERJE are pleased to be partnering with an independent, financial services organisation based in the East Midlands. Our client is looking for a technically strong Financial Accountant to join the team on a permanent basis. This is a great opportunity for a Newly Qualified/Qualified Accountant with prior regulatory experience to build an exciting career within Banking/ Financial Services. The role: The Financial Accountant will assist the Finance Director in the following: Management and preparation of all regulatory reporting to the PRA, FCA and Bank of England. Management of the front office Treasury function including dealing and preparation of policies and procedures relating to liquidity management. Balance risk management including stress testing and ALCO reporting Key requirements: Being a qualified accountant with strong technical skills, this is an ideal opportunity for somebody to grow and develop their financial services regulatory reporting experience. Whilst knowledge within this area is advantageous, more importantly you will have a willingness to learn with strong interpersonal skills and the ability to manage an assistant Accountant.

Interim Compliance Manager & MLRO – 12 month contract

Hertfordshire

£55,000-£75,000 basic salary or £300-£400 day-rate

Our Client A well established and highly successful Foreign Exchange & Payments business are currently looking to recruit an interim Compliance Manager & MLRO to provide maternity cover for 8-12 months. The Role You will be responsible for: Oversee the development of the compliance strategy for the Company. Work as the MLRO and the Nominated Officer. Be responsible for the Regulatory relationships and relevant third parties in ensuring the Company achieves the required regulatory standard. Provide strategic and operational advice to the Company on all aspects of compliance processes and procedures applicable to the Company. To protect the Company’s assets (and ensure compliance) by devising and maintaining a programme to ensure that the Company comply with its regulatory obligations. Any identified issues related to the non-compliance or potential risks are to be reported the Risk Committee. To carry out due diligence to assess the impact of any new business, processes and procedures from a risk point of view. To assess controls, analyse data and draw conclusions about the adequacy and effectiveness of the Company policies, systems and practices. Keep abreast of regulatory/legislative changes and codes of best practice, ensuring Company policies are updated to reflect any changes in these areas. Design a framework to ensure all staff across the Company receive adequate training in areas of risk management. To review transactions and recognise patterns in the data, where further investigation would be required. Key Requirements The ideal candidate for this position will have: Prior experience as an FCA / Approved person and or/ experience of engagement with the FCA Compliance and MLRO experience, specifically in payment services or Foreign Exchange Strong knowledge and understanding of business risk assessment and management Gravitas with excellent relationship building skills with a range of stakeholders Excellent written and oral communication skills Attention to detail Self-starter, high levels of initiative and a strong work ethic This is a fantastic opportunity to join a growing and highly motivated Compliance & AML team within a reputable FX firm.

Finance Manager

Chester

£35,000 - £45,000

An exciting new business are looking to recruit an all-around Finance Manager. This role would be well suited to an experienced and proactive candidate with a wealth of exposure to all levels of accounting from credit control to producing management accounts and statutory accounts. This Finance Manager position will give you a varied and fast paced workload reporting directly to the Managing Director. This is the ideal role for a motivated, hardworking individual who would like the chance to manage their own work load and liaise with stakeholders of all levels. Ideally you will: • Have the skill to prepare management accounts using Sage Line 200 • Have worked with sage 200 • Have experience with Credit Control • Have experience supervising a small team In return you will: • Be liaising directly with the Managing Director • Be given the option to further your accountancy knowledge within an up and coming business with great advancement opportunities in the next year • Have the opportunity to experience a diverse fast paced workload • Flexible working hours to suit the candidate This Finance Manager role is a great chance to gain further all round accounting exposure and progress your accounting career within an expanding business. If you have the relevant skills for the role and feel like this is the right position for you, please apply.

Head of Compliance (MLRO)

Chester

£Competitive six figure salary + bonus + benefits

Our client is an entrepreneurial and fast paced financial services business who are currently recruiting a Head of Compliance role. The role will be responsible for overseeing the implementations of the firms compliance function and ensuring they are in full compliance with applicable regulations. This will be a key hire for the business as they look to take the firm to the next level during a significant period of growth. Key Responsibilities: Acting as Compliance Oversight (SMF16) and Money Laundering Reporting Officer (SMF17) for the business. Leading the Compliance function to define policy and ensure robust implementation through a comprehensive compliance monitoring programme. Provide critical support and technical expertise to robustly manage all compliance risks across the business. Take a leading role in the formulation of applicable policies and procedures. Act as a source of professional and technical expertise in order to evaluate, review, investigate, challenge & mitigate the potential for customer and regulatory risk. Developing and implementing a risk-based compliance monitoring programme, identifying, assessing, monitoring and reporting all material compliance risks. Undertake an annual compliance risk assessment, propose and gain approval for the annual compliance monitoring plan. To manage the development and delivery of mandatory compliance training including financial crime training courses. Monitoring regulatory developments and react to those that may impact the firm Overseeing the firm’s systems and controls against money laundering and terrorism financing using risk-based approaches. Undertake duties as the MLRO including: -Leading the implementation of a financial crime programme to monitor compliance across the business -Ensuring compliance with AML staff training obligations, ensuring that all staff receive relevant training -Receive and assess all internal Suspicious Activity Reports (SARs) with onward reporting to the National Crime Agency when required Key Requirements: Demonstrable track record operating in a senior Compliance role ideally with experience of Mortgages, Loans and Savings. Strong stakeholder management experience Ability to face off to Regulators Ideally held SMF16/17 (not essential)

Compliance Officer

Leeds

£Market Rate

Our client is a leading financial services business who are currently recruiting for a Compliance Officer. The role will be responsible for ensuring that the business fulfils the FCA’s requirements and meets all relevant regulations. Key Responsibilities: Monitor business risks in accordance with regulatory requirements and internal procedures, both desk and potentially field based. Assist with tasks in relation to the Compliance Plan Review customer complaints where required, to complete MI, contribute to Root Cause Analysis, and to submit regulatory reports Monitor specific managed portfolio issues and assessment of suitability Review and monitor work relation to daily queries, based primarily on Compliance duties Review financial promotions prior to publication and make recommendations as necessary to meet regulatory guidance Monitor Training & Competence arrangements throughout Head Office and Branches Maintain a working knowledge of the FCA Conduct of Business rules, APER and T&C framework and implications for the business Report any risks which may be detrimental to clients or the business which may arise Key Requirements: Wide ranging knowledge of financial investments such as equities, fixed income securities and funds An overview of Training and Competence requirements Experience of portfolio management and/or wealth management Relevant investments qualifications

Risk MI & Reporting Development Manager

Edinburgh

£500.00 per day

Our client is a leading financial services business who are currently recruiting for a Risk MI & Reporting Development Manager on a 6 month contract. The role will be responsible for overseeing the implementation of a new suite of MI & Reporting Key Responsibilities: Design and deliver a new suite of MI & Reporting to the business Help the business in manage risk effectively Assist with the implementation of a new suite of MI & Reporting Oversee risk reporting across different business groups Help mitigate any data risk Ensure the business remains compliant with all regulations and industry best practices Ensure data is managed effectively and in line with regulations Design templates for the business Review the risk reporting Carry out data analysis Key Requirements: Knowledge of Op Risk & Enterprise Wide Risk Experience of using Business Objects to create/build reporting and develop that reporting Financial services experience

Head of Credit

Middlesex

£90,000 - £110,000

A global, market-leading and award-winning financial services business. This Client does not provide sponsorship. Key Responsibilities of the Head of Credit: Establish polices, systems and procedures for monitoring credit exposure Identify areas of over exposure and areas of opportunity Develop and maintain the Lending policy Maintain effective relationships with funders, third party supplies, etc. Manage the development, implementation, monitoring and reporting of scoring and decision systems and their effectiveness Conduct analysis, highlight areas of possible improvement and present robust arguments to support proposed changes Manage, motivate and develop direct reports (Fraud Investigator) The ideal candidate for this Head of Credit opportunity will have the following knowledge, experience and understanding: Mortgages experience is essential Lending industry experience and knowledge Knowledge of credit scoring, its application and development Experience of Credit Policy and strategy Ideally experience in a specialist lending environment The ability to form productive relationships at all levels Strong English verbal and written communication skills Accurate, well organised and reliable Good knowledge of Microsoft applications

Finance Analyst

Cheshire West and Chester

N/A

My client, a growing entrepreneurial Financial Services organisation require an experienced Finance Business Analyst on an interim contract to support the business through its growth As part of the Commercial Finance team we’ll ask you to work across various work streams within the organisation capturing requirements to map transactions from the customer platform to the general ledger to ensure accurate P&L reporting. This is to include using documented customer journeys across multiple outcomes to determine the correct P&L mapping. The scope of this role also includes working closely with Core teams (across departments including finance and operational areas) to ensure that the P&L mapping meets their reporting and operational needs. With experience of working in a commercial or analytical function within a financial institution, ideally you will experience of working with out-sourced operating models and have a track record of excellent internal and third party stakeholder relationship management. Additionally you will need to be able to convey complex technical issues in a straightforward and transparent manner. They are looking for someone who has a passion for data combined with a desire to convey that data and insight in a creative way. If you are looking for a really exciting, unique opportunity with the chance to learn with a super talented team then this could be for you

Financial Crime Adviser

Leeds

£50,000

Our client is a leading bank who are currently recruiting for a Financial Crime Adviser. The role will be responsible for optimising systems and processes to prevent financial crime and make sure all regulations are considered in regards to financial crime prevention. Key Responsibilities: Advise the business on how to identify, and mitigate, financial crime risks Provide recommendations to stakeholders on best practice approaches to achieve the required level of compliance in all BAU, proposed and new initiatives in accordance with the business strategy and risk appetite Regularly review and maintain mandatory training, policies and procedures to ensure that they help embed a culture of responsible financial crime risk management; they remain accurate and fully embrace prevailing legal, regulatory and group requirements at all times Process internal suspicious transaction reports and make recommendations to the FCPM where external disclosures may be required (e.g. to the National Crime Agency) Provide advice and support to stakeholders to ensure that process changes are designed to meet applicable legal and regulatory requirements and do not weaken the financial crime prevention control environment This may entail, but is not limited to, providing feedback on project documents and attending risk committees and project steering groups Provide specialist subject guidance to Regulatory colleagues when financial crime related issues or requests for advice are received by the Regulatory department. The role holder will analyze and reply to any requests within the stipulated SLA’s Develop, maintain and analyze appropriate and accurate Management Information to enable effective oversight by the FCPM, MLRO and governance Committees Contribute to the compilation of monthly reporting Provide regular and accurate input to the regulatory horizon scanning and interpretation process, identifying requirements, potential risks and issues Key Requirements- Understanding of applying UK financial crime legal and regulatory requirements within an FCA authorised firm. Experience of interpreting new and existing regulations and identifying actions the business is required to undertake to ensure adherence to regulatory requirements. Relevant qualification, I.e. ICA fraud or money laundering diploma. A very strong fraud prevention and investigations background is a must, the business’s primary threat is fraud so there is naturally a bias towards ensuring candidates have an excellent understanding of current threats and prevention methods.

Intelligence Analyst

London

Negotiable

Our client is a well-regarded business who are currently recruiting for a Senior Intelligence Analyst. The role will be responsible for the development and provision of expert strategic fraud intelligence products for the business. Key Responsibilities: Production of the industry biennial strategic threat assessment Production of strategic problem profiles to support industry forums Presentations to customers and industry stakeholders on the above at conference and forums Support the production of tactical problem profiles on professional enablers by the analyst team Facilitate workshops to develop training materials and guidance documents to assist in delivery of internal and external best practice Engagement with customers (face to face and telephone) to identify opportunities to develop new strategic and tactical intelligence products Delivery of ad-hoc research and analysis for internal stakeholders Delivery against annual objectives Delivery against personal development plan Key Requirements: Background in intelligence in an investigate practice preferably in insurance Working knowledge of the insurance industry and fraud controls Knowledge of fraud and other forms of financial crime Evidence of adapting analytical skills to changing roles

Claims Handler

Milton Keynes

£17,500

Our client is a highly regarded insurance and fraud business who are currently recruiting for a Claims Handler. The main responsibility of the role will be to settle claims and deliver a positive customer experience Key Responsibilities: Responsible for a portfolio of different claims including assessment, valuing and settlement of the claim Handle and settle claims made promptly and fairly Work with colleagues to ensure shared goals are achieved Deliver a positive customer experience by communicating with stakeholders in a helpful and proactive manner Key Requirements: 5 GCSE’S Grades A* - C or Level 4-9 to un Customer Service experience Working knowledge of claims and claims handling Strong communication skills

Trainee Claims Handler

Milton Keynes

£17,500

Our client is a highly regarded insurance and fraud business who are currently recruiting for a Claims Handler. The main responsibility of the role will be to settle claims and deliver a positive customer experience Key Responsibilities: Responsible for a portfolio of different claims including assessment, valuing and settlement of the claim Handle and settle claims made promptly and fairly Work with colleagues to ensure shared goals are achieved Deliver a positive customer experience by communicating with stakeholders in a helpful and proactive manner Key Requirements: 5 GCSE’S Grades A* - C or Level 4-9 to un Customer Service experience Working knowledge of claims and claims handling Strong communication skills

Senior Compliance Officer

Cheshire West and Chester

£30,000 - £32,000

Our client is a leading business who are currently recruiting for a Senior Compliance Officer. The role is responsible for taking a leading role in investigation and resolving customer related complaints. Key Responsibilities: To take a lead role in being responsible for investigation, resolution and reporting of all customer related complaints. Conducting periodic file reviews of complaint cases prepared by a team of compliance assessors. To be a main point of contact for customer complaints, liaising with operational colleagues ensuring that customers are kept fully informed of progress at all times. To ensure all policies and procedures relating to customer complaints are followed and adhered to. Ensure that all written communication is to a professional high standard. Working closely with internal departments, providing feedback to improve the claim process and the customer journey. Key Requirements: Experience working in a relevant environment i.e claim management/financial services Strong knowledge of regulatory requirements High level of accuracy and attention to detail Effective communicator

Claims Handler

Milton Keynes

£30,000

Our client is a leading well regarded fraud business who are currently recruiting for a Claims Handler. The role is responsible for handling and settling claims made to the business promptly and fairly and delivering a positive customer experience. Key Responsibilities: To process work chronologically and/or in order of priority, and to help out other claims handlers to ensure that this is achieved when necessary To deal with all aspects of claims handling including letter writing, telephone contact, diary management, valuation, negotiation and settlement of the following types of claim / loss To act as a key referral point to less experienced claims staff To keep up to date with the business’ good claims practice and champion this throughout the team To act within set handling authorities as defined by the Claims Authorities Matrix Deliver a positive customer experience by communicating with our stakeholders in a helpful, proactive and professional manner Key Requirements- A good understanding of motor insurance and claims principles in general Minimum QCF Level 4, which equates to: Certificates of Higher Education, CII Level 4 Diploma, NVQ Level 4 Ability to use the AS400 or similar products as well as Microsoft based products

Anti Money Laundering Officer (AML)

Cheshire West and Chester

£23,000 - £26,000

Our client is an international retail bank who are currently recruiting for an AML Officer. The role is responsible for ensuring the banks AML controls meet regulatory standards and is reporting directly into the Deputy MLRO. Key Responsibilities: Help ensure the Bank’s AML systems and Controls meet or exceed required regulatory standard. Be responsible for ensuring the Bank’s systems and controls meet or exceed the required regulatory standards in respect of Data protection and information security. Maintain the Bank’s Business Continuity plan up to date, meet or exceed regulatory standards and is fit for purpose. Manage compliance/contingency/risk issues within own area of control and for the Bank. Help ensure that the business maintains an appropriate level of awareness of AML and to monitor adherence to the firms Anti Money Laundering Policies and Procedures. Act as a central point of contact on money laundering issues. Draft annual reports to the senior management of the firm relating to the effectiveness of anti-money laundering procedures. Provide advice on regulatory issues on areas of responsibility to all areas of the Bank’s business. Help arrange, administer and ensure that all staff have appropriate training in relation to money laundering. Key Requirements: Previous compliance experience within the financial services industry and compliance. 2/3 years’ experience of working in a multi-disciplined team across business units. Someone with sound knowledge of legislation and regulation surrounding financial crime

Head of Operational Risk Partnering

Manchester

c.£80,000 - £100,000 + Car allowance + Benefits

Our client is a highly reputable and fast paced Financial Services business who have made a significant impact across the industry since their establishment. A new and exciting opportunity has arisen to join the firm as the Head of Operational Risk Partnering. In this role you will lead the Operational Risk partnering across business units and functions, to support the implementation of the operational risk management framework and provide expert knowledge and guidance to business units and functions on operational risk identification, assessment and management. Responsibilities: To deputise for the Operational Risk Director at committees and steering groups as required including at senior manager, Executive and Board level. Challenge the efficacy of mitigating actions and plans across the business in order to ensure the operational risk profile remains within risk appetite. Act as a subject matter expert on Operational Risk identification, assessment, and management, partnering specific areas of the business and supporting Risk Directors in relation to Operational Risk Implement the operational risk management framework in a robust manner, ensuring the operational risk framework is understood, documented, communicated, enhanced and embedded Work with key stakeholders across business units and group functions to drive understanding and execution of operational risk best practice Robust oversight, monitoring and challenge of business unit and function risk and control self-assessments, management actions, and risk culture, and efficacy of management actions to manage risk in line with risk appetite Provide oversight and challenge and operational risk expert advice in relation to strategic change projects Assess compliance with policies, accuracy off attestations and recommend any performance calibration to Operational Risk Director Attend divisional boards and senior leadership meetings as assigned to oversee and challenge management of operational risk Demonstrate a strong understanding of the aligned business areas and functions and their strategy, objectives and processes in order to support the leadership team in terms of the appropriate implementation of the Operational Risk Framework and management of risks Work with other Risk and Internal Audit to provide holistic and effective operational risk oversight Key Requirements- Proven experience of leading operational risk teams Sound regulatory knowledge of operational risk requirements Strong understanding of operational risk framework end to end including operational risk systems, policies, regulatory requirements, and ICAAP Good understanding of supporting disciplines including change management, IT and IT Security, supplier management, and business resilience Leading risk and control self-assessment workshops and risk analysis

Credit Risk Analyst - IFRS9 Modelling

London

£40,000 - £65,000

As the Credit Risk Analyst - IFRS9 Modelling, you will advise and assist clients in the build, development and validation of Credit Risk measurement models. The Client: A global, widely-recognised and successful Financial Services business. This Client does not provide sponsorship. Key Responsibilities of the Credit Risk Analyst - IFRS9 Modelling: Advising clients on the impact of changing requirements in provision accounting standards (IFRS9) Helping clients validate or build credit risk models (PD, EAD, LGD) Apply skills to a broad range of banking risk related issues supporting both regional and national propositions The ideal candidate for this Credit Risk Analyst - IFRS9 Modelling opportunity will have the following knowledge, experience and understanding: Vast experience of Credit Risk Modelling (PD, EAD, LGD) within retail/wholesale banking Strong understanding and ability to execute programming code, including SAS, VBA, Matlab, C++, etc. Knowledge and experience of accounting / risk requirements relating to IFRS9 Detailed working knowledge of all aspects of the model life cycle – development, build, validation, etc. Flexibility to apply skillset to a wide range of engagements Excellent communication skills

Compliance Policy Manager

Leeds

c. £50,000 + Benefits

My client is a long established and highly respected Financial Services organisation who are currently looking to recruit a Compliance Policy Manager to join the firms Compliance function and contribute to the successful development of the firm in line with the strategy identified in the business plan including fulfilment of the Financial Conduct Authority requirements. Duties: To provide guidance and interpret rules of the Financial Services and Markets Act and changes in UK and EU legislation that impact the business e.g. Financial Crime and MiFID II regulation. To manage the Central Monitoring Team and agree with the Head of Regulation the programme across the head office business and monitor the programme’s progress. To lead on Compliance projects as directed by Head of Regulation, cooperating with the Monitoring Manager on processes and documentation To take responsibility for drafting communications to inform branches and Head Office on relevant subjects in a timely manner e.g. Compliance To develop and maintain risk monitoring MI and KRIs and contribute to quarterly reports on firm's risk framework and ensuring risk matrix is reflective of new and emerging risks. To ensure compliance with the FCA requirements by taking responsibility for the maintenance and development of Branch and Department manuals and to assist in the implementing of new procedures and review and update manuals every May and November to ensure the requirements and guidance are up to date To deal in the first instance with FCA correspondence on investigations and requests for information. To investigate and deal with complaint files referred to FOS as an independent “four eyes” check. Key Requirements: The ideal candidate will have a relevant professional qualification and sound knowledge of FCA regulations. Ideally you will have the Diploma in Investment Compliance or equivalent and full level 4 qualification e.g. CII Financial Planning Diploma or CISI Investment Advice Diploma.

Operational Risk Manager

Manchester

£56,000 + Benefits

Our client is a leading financial services business who are currently recruiting for an Operational Risk Manager. The role will be responsible for supporting the implementation of the operational risk management framework and provide expert knowledge and guidance on operational Risk. Key Responsibilities: Support the implementation of the operational risk management framework, ensuring the framework is understood and embedded. Work with key stakeholders across business units and group functions to implement operational risk best practice, in particular embedded operational risk/assurance managers. Oversee and monitor adherence to the Operational Risk Management Framework, including requirements within each of the supporting policies and processes, ensuring their robust application across the business and providing reporting on exceptions. Monitor Risk Events ensuring appropriate remedial work is undertaken by first line business areas and tracked to conclusion, provide validation of data accuracy including allocation to appropriate risk themes/ Basel categories, review associated risk data including RCSAs to ensure controls and risk assessments have been updated, prepare data for submission to the regulator / external data sharing consortiums in line with prescribed standards. Review RCSAs to identify data exceptions and inconsistencies with other framework elements (including risk events), working with first line business areas to address or raising concerns to management where appropriate. Review and monitor RCSA actions to ensure timely updates and track to conclusion. Provide oversight of the Risk Acceptance process, ensuring central records remain accurate and proactively following up expiring acceptances. Providing relevant feedback to first line risk supporters and / or SMEs. Supporting reporting to CORC and other committees. Key Requirements: Experience of working within a risk or control area within financial services Strong awareness of operational risk and control environment execution within a financial services environment Strong reporting and analytical skills, able to draft reports to senior leaders and Executive Committees Knowledge of regulatory capital requirements an advantage

Head of Compliance & MLRO

Chester

Competitive six figure salary + Bonus + Benefits

Our client is an entrepreneurial and fast paced financial services business who are currently recruiting a Head of Compliance role. The role will be responsible for overseeing the implementations of the firms compliance function and ensuring they are in full compliance with applicable regulations. This will be a key hire for the business as they look to take the firm to the next level during a significant period of growth. Key Responsibilities: Acting as Compliance Oversight (SMF16) and Money Laundering Reporting Officer (SMF17) for the business. Leading the Compliance function to define policy and ensure robust implementation through a comprehensive compliance monitoring programme. Provide critical support and technical expertise to robustly manage all compliance risks across the business. Take a leading role in the formulation of applicable policies and procedures. Act as a source of professional and technical expertise in order to evaluate, review, investigate, challenge & mitigate the potential for customer and regulatory risk. Developing and implementing a risk-based compliance monitoring programme, identifying, assessing, monitoring and reporting all material compliance risks. Undertake an annual compliance risk assessment, propose and gain approval for the annual compliance monitoring plan. To manage the development and delivery of mandatory compliance training including financial crime training courses. Monitoring regulatory developments and react to those that may impact the firm Overseeing the firm’s systems and controls against money laundering and terrorism financing using risk-based approaches. Undertake duties as the MLRO including: -Leading the implementation of a financial crime programme to monitor compliance across the business -Ensuring compliance with AML staff training obligations, ensuring that all staff receive relevant training -Receive and assess all internal Suspicious Activity Reports (SARs) with onward reporting to the National Crime Agency when required Key Requirements: Demonstrable track record operating in a senior Compliance role ideally with experience of Mortgages, Loans and Savings. Strong stakeholder management experience Ability to face off to Regulators Ideally held SMF16/17 (not essential)

Regulatory Compliance Officer

Cheshire West and Chester

£26,000 - £28,000

Our client is a leading retail bank who are currently recruiting for a Regulatory Compliance Officer. The role is responsible for ensuring that the Bank operates within a compliant and controlled risk environment. Key Responsibilities: Responsible for ensuring the Bank’s systems and Controls meet or exceed required regulatory compliance standards. Assist with regulatory filings with the FCA and other regulators as required. Maintain the Firm’s FCA Approved Persons Registrations. Providing assistance in preparation for External/Internal Audits/Client Visits. Organisation and maintenance of Compliance documentation. Monitor and review regulatory changes from the PRA/FCA and other relevant regulators, perform initial gap analysis and help implement and changes where necessary. Help monitor, coordinate and manage the work conducted by the Risk & Compliance teams. Produce reports to the senior management of the firm relating to the effectiveness of regulatory compliance as directed by the Risk and compliance Director. Manage compliance/contingency/risk issues within own area of control and for the Bank. Provide advice on regulatory issues on areas of responsibility to all areas of the Bank’s business. Monitor adherence to the firm’s compliance with regulations as directed by the Risk and compliance Director. Arrange, administer and ensure that all staff have appropriate training in relation to regulatory compliance. Key Requirements: Able to demonstrate knowledge in the core areas of regulatory compliance gained with a financial services organisation. Strong communication skills Strong planning and organising skills.

Assistant Company Secretary

York

£34,500

Our client is a leading financial services’ business who are currently recruiting for an Assistant Company Secretary. The key purpose of the role is to provide high quality, professional company secretarial support for entities within the business Key Responsibilities: Supporting the development of corporate governance best practice in all entities within the business Providing company secretarial support to a number of boards and board committees, including preparation of agendas, creation and collation of board packs, taking minutes and following up on action points. Maintaining accurate documentation of corporate governance activities and processes, including updating and maintaining the statutory books for subsidiary companies. Administering the business’s policy framework to ensure that policy reviews are carried out on schedule and the policy framework is consistently applied. Key Requirements: Experience in a company secretarial or senior administrative environment A relevant professional qualification, e.g. ICSA part qualified or qualified or be prepared to study towards this.

Area Relationship Manager (Level 4)

Edinburgh

£40,000 + Car Allowance + Benefits

Our client is a leading wealth management business who are currently recruiting for an Area Relationship Manager. The main purpose of the role is to act as a relationship manager for issues relating to Business Assurance from the Partnership, Field Management Team and Business Risk Teams. Key Responsibilities: To help ensure the company is meeting the company’s TCF objectives – in particular the FCA’s TCF Outcome 4: Where consumers receive advice, the advice is suitable and takes account of their circumstances. Provide input (where required) to corporate decision-making based on knowledge/awareness of regulatory requirement/change and industry best practice. Assist with the training and support for newly recruited Partnership Development Managers on advice issues, Business Assurance standards and corporate expectations of advice and documentation. Consulting with Partners through the Field Management Team, where necessary, on complex cases and advice related issues. Assisting with training of Business Assurance teams, Partnership Development Managers, Partners and their support staff on changes to advice guidance and any ongoing advice/documentation issues. Work closely with Area Managers for Business Risk where risks or trends are identified and require Business Assurance support. Liaise with designated location documentation specialists and Area Operations Managers in order to ensure changes to the advice guidance are imbedded in an efficient manner and a consistent approach to documentation is maintained across all locations. To act as a key interface between Head Office, the Field Management Team and the Partnership, which will include UK travel and may include overnight stays when in the field Key Requirements: Must hold a minimum of Diploma in Financial Planning (or equivalent) and be working towards, or have a willingness to work towards becoming Chartered/Fellow (CII). Preferably have experience in a compliance/case checking or complaints based role Well-rounded in all advice areas, including good pensions advice experience

Credit Analyst

Chester

£20,000 - £35,000

Our client is a leading FS business who is currently recruiting for a Credit Analyst/ Underwriter. The role is responsible for successfully underwriting applications referred for credit and fraud reasons. Key Responsibilities: Responsible for the successful underwriting of applications referred for credit and fraud reasons in line with delegated authority, policy, risk and regulation Ensure all processes are worked to high standard which include reviewing potential application fraud referrals, customer appeals and working the account management process Ensure customers receive the right service Keep up to date on all policy, procedure, operational and corporate changes Work in a way that is consistent with the key values of the business Key Requirements: Credit and Fraud Underwriting experience Financial services experience Data and analytical skills

Assistant Company Secretary (3 month contract)

Manchester

£30,000 pro-rata

Our client is an entrepreneurial business who are currently recruiting for an Assistant Company Secretary. The role will provide assistance to the Group Company Secretary with the provision of company secretarial services to the business. The role: Prepare draft statutory minutes and resolutions; compile and prepare board and committee papers; monitor and update actions lists; provide administrative support; prepare and maintain records, schedules and databases; and assist with corporate and regulatory registrations Stay up to date with relevant regulations Take minutes for the board and committee meetings as required Key Requirements: Relevant secretarial experience Understanding of company law and director responsibilities Experience taking minutes in meetings

Compliance Monitoring Officer

Cheshire West and Chester

£23,000 - £26,000

Our client is a leading retail bank who are currently recruiting for a Compliance Risk Officer. The role is responsible for helping the bank maintain compliance with all regulatory requirements. Key Responsibilities: Support the Head of Compliance as and when required on specific activities and projects; Produce reports and returns which may involve detailed research and analysis from within and outside the unit; Undertake specific tasks within set terms of reference and defined processes; To work with each department and the various business units to provide support, advice and guidance on appropriate compliance framework, policies and procedures, which will facilitate the business in identifying, assessing and managing compliance risk within the business, meeting the standards set and regulatory requirements. Ensure all compliance principles, policies and procedures are clearly defined and regulatory developments are proactively communicated; Through regular and appropriate business involvement ensure all compliance work is carried out to the required level of competence as set out by legal and regulatory requirements in order to comply with generally accepted principles of compliance and supporting the strategic operating requirements of the division; Build and maintain effective working relationships with the internal stakeholders Regularly review and keep up to date with changes in regulatory, legislative and market practices that impact the business Key Requirements: Previous compliance experience within the financial services industry and compliance. 2/3 years’ experience of working in a multi-disciplined team across business units. Strong understanding of all regulations that impact banks

Remediation Officer

Manchester

£20,000 - £25,000

Our client is a leading financial services’ business who are currently recruiting for a Remediation Officer. The role will be responsible handling regulated complaints. Key Responsibilities: Assist in handling and resolving customer dissatisfaction and complaints Make sure complaints are handled within their regulatory timescales Reviewing feedback from clients Addressing any areas of improvement that have been identified Liaising with a wide range of key stakeholders Identifying root cause of risks within the business Addressing root cause of risks Key Requirements: Complaints/Remediation’s experience Financial services’ experience Organizational skills

Fraud Coordinator

Milton Keynes

£27,000 - £32,000

Our client is a leading fraud business who are currently recruiting for a Fraud Coordinator. The role will be responsible for assessing and carrying out initial desktop research against all incoming referrals to determine which causes warrant a detailed fraud interview. Key Responsibilities: Maintain a high level of response to incoming referrals from both mainstream and SIRA, to ensure these are responded to within 24 hours Act as the main liaison for internal stakeholders for referrals and queries Be responsible for the implementation and delivery of fraud training as required Working as part of the Intelligence team; by keeping up to date with incoming Intelligence, identifying new trends, requesting MI and completing focused file reviews Analysing the data and information gathered from referrals and MI reports, to identify fraud risks that require special investigation by the unit Development and submission of risk assessment reports, to the Anti-Fraud Manager Working in conjunction with the Audit team to help identify the value of the business unidentified fraud exposure, involving the application of fraud investigation tools and techniques to a sample of cases Producing confidential reports based on the findings from the fraud audits including recommendations to mitigate fraud risks To present report findings at internal or external stakeholder meetings as directed by the Anti-Fraud Manager Working with internal departments to identify and mitigate fraud risks outside the scope of claims Key Requirements: Minimum 3 years of experience, gained from dealing with the handling/investigation of fraudulent motor claims Experience of working with an Anti-Fraud Database Extensive knowledge of claims handling, gained from experience of working as a Claims Handler and Claims Investigator Extensive working knowledge of CPR, PACE, DPA and The Fraud Act 2006

Quality Assurance Officer

Cheshire East

£20,000 - £25,000

Our client is a leading and reputable lending firm who are currently recruiting for a Quality Assurance Officer. The role will be responsible for maintaining high quality standards across the business. Key Responsibilities: Monitoring calls and administrative functions to ensure best practice is adhered to and track employee’s performance Assist with the development and improvement of call monitoring formats and quality standards Maintain databases and spreadsheets, providing data to managers/team leaders as required Support the business areas by providing feedback/training Key Requirements: Experience of working within quality assurance Experience within financial services Strong attention to detail skills

Project Manager

Stockport

£35,000- £40,000

My client is looking for a Project Manager who will be responsible for leading Lean Sigma projects across all functions in the organisation. The successful individual will be responsible for: Identifying the key drivers of cost and waste Identifying income opportunities within the business and exploiting them through their Lean Sigma toolkit to drive additional revenue / income into the business. Mapping all key processes, understand primary metrics and to identify the process capability ratings for each process with identification of areas for improvement to reduce failure rates. Working closely with all levels of internal & external suppliers to ensure that projects are delivered on time, within budget and to the appropriate level of quality. The successful individual will: Lean Six Sigma certified to a minimum standard of Greenbelt with several years’ experience, and expertise in using and coaching others in Lean Six Sigma tools and techniques required to make operational and process improvements. Significant experience of implementing small operational / process changes for the benefit of customers and reducing business costs This is an excellent opportunity to work for an industry leading black belt who will provide outstanding training and development.

Financial Crime Investigator

Chester

£20,000 - £25,000

Our client is a leading and specialist lending firm who are currently recruiting for a Financial Crime Investigator. The role is responsible for investigating applications where there is a suspicion of Fraud or Money Laundering offences, taking appropriate action to protect the company from loss. Key Responsibilities: Investigate referrals made to the business, making appropriate decisions regarding the progression of applications when fraud or money laundering offences are suspected. Have an in-depth knowledge of fraud prevention systems (Detect, FIND, SIRA) and be able to use them effectively. Liaise with other members of fraud prevention organisations and effectively share information on known and suspected frauds. Gather evidence when investigating fraud cases to satisfy the burden of proof and then record such cases with the relevant fraud prevention agencies. Ensure mandatory reports to CIFAS and NCA are completed when required. Prepare accurate management information to include; volumes of referrals investigated, fraud cases filed, NCA referrals made and the potential savings made by the use of fraud prevention agencies. Attend meetings with external fraud prevention agencies and keep abreast of any changes or trends emerging within the industry. Investigate Data Disputes which have been raised by Credit Reference Agencies and give advice on any appropriate corrective action. Provide mandatory AML/CTF training presentations to employees and give ongoing training and advice on Financial Crime matters when required. Assisting with development and deployment of rules into fraud systems to detect and prevent fraudulent activity. Key Requirements: An understanding of operational procedures within the business and ability to use internal systems such as Pan Credit, Target, SIRA, FIND etc. Knowledge of CIFAS and SIRA’s role in fraud prevention and how membership of these organisations impacts our processes. Full understanding of the Membership Rules of CIFAS and SIRA. Understanding of Money Laundering and Terrorist Financing legislation and the guidance provided by the JMLSG, the FCA and under the 4th AML directive. An understanding of typical fraud behaviours, especially relating to application fraud, and how analytics, MI & rules can identify and mitigate against fraud losses.

Fraud Investigator

London

£30,000 - £35,000

Our client is a leading financial services’ business who are currently recruiting for a Fraud Investigator. The role will be responsible for developing the Firms anti-fraud processes, procedures and controls. Key Responsibilities: Monitor fraud prevention developments and assess their implications for the business Investigate potential fraud applications considering facts and using industry data available to provide clear and concise recommendations in respect of further actions to be taken Maintain the Firms anti-fraud screening system rules, ensuring market and application intelligence is fed into continuous review and change Report, where appropriate, potentially fraudulent application activity through the Firms application screening software and where appropriate recommend to the MLRO reporting to the relevant fraud agencies Raise Suspicious Activity Reports (SARs) as appropriate and report to Compliance / MLRO in line with company procedures Advise line management of the relevant regulatory requirements Prepare management reports and ad-hoc reports in relation to fraud prevention results Assist in responses to ad-hoc queries and new business initiatives to enable line managers to meet their anti-fraud and AML requirements Assist in the planning and provision of fraud prevention training Develop and maintain fraud monitoring/anti-fraud/money laundering procedures Key Requirements: SIRA experience Experience and knowledge around fraud prevention systems, techniques and measures Knowledge of anti-fraud screening techniques

Head of Continuous Improvement

Manchester

£60,000 – £75,000

My client is looking for a Head of Continuous Improvement to continue embedding a CI Culture across the Service Operations and customer facing operations. This unique role requires the successful candidate to lead, create, deliver, coach, teach, and train in order to roll out and embed continuous improvement expertise. Responsibilities Establish a culture of continuous improvement across the Service Operations. Deliver structured, value adding Six Sigma projects Review cost, quality, productivity, value stream mapping and root cause analysis to identify areas of opportunity for operational improvement and efficiency gain Deliver well executed customer feedback loops and implementation of small change via use of Kaizen techniques Ownership of customer journey management and overall architecture Utilise Lean methodology to eliminate waste driving customer satisfaction, cost reduction, and improved operational performance Skills, Experience & Qualifications Certified Six Sigma Blackbelt or MBB Experience in successful delivery of continuous improvement initiatives Experience in successfully managing and delivering change via proven operational continuous improvement methodologies such as Six Sigma, Lean, Kaizen You must be able to demonstrate exceptional leadership skills and be able to influence at all levels. Previous experience of managing teams and coaching support staff is also essential.

Compliance Monitoring Officer

Manchester

£21,000 - £26,000

Our client is a leading financial services’ business who are currently recruiting for a Compliance Monitoring Officer. The role will be responsible for conducting timely audits in line with the Group’s Compliance Monitoring Plan. Key Responsibilities: Complete the required Audits as part of business’s Compliance Monitoring Plan, providing 2nd line assurance and challenge to key business functions, as well as issuing findings to key stakeholders for review and action. Providing advice and guidance to the business Provide 2nd line challenge to the business Ensure that regulatory and business standards are adhered to Review core business controls and processes as part of the plan Proactively engage with key stakeholders to address the root cause of any risks identified during Audits, ensuring that risks are mitigated within the risk appetite. Engage proactively with key stakeholders to influence timely and effective remedial action in response to Audit findings. Key Requirements: Compliance Monitoring experience Financial services’ experience Organizational skills Good range of GCSE’s

Financial Crime Analyst

Manchester

£25,000 - £30,000

Our client is a leading banking institution who are currently recruiting for a Quality Assurance Analyst. The role will help shape a newly established team to Quality Assure Customer Due Diligence (CDD) ensuring compliance with legislative and regulatory best practice. Key Responsibilities: Undertake Quality Assurance checks on both new to bank and existing CDD Ensure internal CDD requirements are adhered to Evaluate and escalate common areas and policy deficiencies identified during quality checking to assist the development and enhancement of the banks instructions Communicate effectively to branch colleagues and Regional Compliance departments any issues raised from case checking to enable these to be resolved in a timely manner Identify any key risk areas and escalate to management Support the development and continued improvement of the Quality Assurance process Key Requirements: Familiar with banking AML/KYC requirements as well as regulatory requirements Financial services’ experience Strong Analytical skills

QA Analyst (Customer Due Diligence)

Manchester

£25,000 - £35,000

Our client is a leading banking institution who are currently recruiting for a Quality Assurance Analyst. The role will help shape a newly established team to Quality Assure Customer Due Diligence (CDD) ensuring compliance with legislative and regulatory best practice. Key Responsibilities: Undertake Quality Assurance checks on both new to bank and existing CDD Ensure internal CDD requirements are adhered to Evaluate and escalate common areas and policy deficiencies identified during quality checking to assist the development and enhancement of the banks instructions Communicate effectively to branch colleagues and Regional Compliance departments any issues raised from case checking to enable these to be resolved in a timely manner Identify any key risk areas and escalate to management Support the development and continued improvement of the Quality Assurance process Key Requirements: Familiar with banking AML/KYC requirements as well as regulatory requirements Financial services’ experience Strong Analytical skills

Senior Forecasting Analyst

Manchester

£40,000

My client, a FTSE 250 business, is looking for an engaging senior forecasting analyst to work with an established team and develop processes and planning accuracy. This is an excellent opportunity to work with a fast moving business that will give you the chance to improve the planning function. You will be: Be the lead forecasting analyst for back office activity across the business Identifying and highlight performance/service risks to the operations department Working on a number of high profile businesses. The ideal candidate will: Be an experienced Forecasting Analyst Have a strong working knowledge of Excel as well as Resource Planning software Understand both front and back office planning models This is a great opportunity for a planning manager looking to have more of an impact on an operation or a senior analyst who is ready to move into management.

Financial Crime Executive

Cardiff

£30,000

Our client is a well-regarded and leading financial services’ business who are currently recruiting for a Financial Crime Executive. The role will be responsible for making sure robust financial crime prevention systems and controls are in place across the business Key Responsibilities: Identify exiting/emerging financial crime risks across the business and suggest prevention/detection processes or systems to mitigate the risks identified Conduct ad-hoc reviews to ensure the businesses policies in relation to financial crime are being adhered to Undertake AML transaction monitoring, review sanction and PEP matching alerts. Act in the capacity of nominated officer on behalf of the business Responsible for the completion of SAR investigations and providing assistance in relation to NCA disclosures Liaise with appropriate law enforcement agencies and regulators resolving issues around requests for information, production orders, SARs, consent and freezing orders. Complete investigations into fraud referrals received maintaining appropriate record keeping of all investigations for evidential and reporting purposes Identify any training needs in relation to the understanding of financial crime issues or preventative methods adopted by the business, and where required communicate the requirements to the Learning and Development team. Key Requirements: Knowledge of ML Regulations, JMLSG, FCA & EU standards Experience working in a financial services regulatory environment Previous experience in financial crime prevention, including AML, Fraud, Sanctions and PEPs

Conduct Risk Specialist

Manchester

£20,000 - £25,000

Our client is a growing and entrepreneurial financial services’ business who are currently recruiting for a Conduct Risk Specialist in Manchester. The role will be responsible for providing assurance over business’ outsourced service providers and the delivery of appropriate customer outcomes. Key Responsibilities: Co-ordinate and perform oversight of the business’s service providers, to ensure adherence to regulations and internal policies Identify conduct risks and monitor the quality of customer outcomes, through risked based call listening and customer account reviews Co-ordinate Call Calibration sessions Manage and track remediation actions Regular communication to stakeholders (internal & external) on key risks identified and areas of good and best practice Maintain and develop Conduct Risk Framework Support with general office administrative tasks Key Requirements: Previous experience of Conduct Risk, QA Frameworks, or Junior Risk/Compliance Roles Knowledge of the FCA Handbook Experience within financial services’

Quality Assurance Analyst

Manchester

£30,000

Our client is a leading and prestigious law practice who are currently recruiting for a Quality Assurance Analyst. The role will be responsible for ensuring all regulations are adhered to and help promote a quality and continuous improvement culture. Key Responsibilities: Continuous auditing for the Legal Services Centre and KPI reporting Spot checking documentation and reporting Tracking of non-conformance up to resolution Assisting with the drafting of weekly QA reporting and team stats Participation in post transactional review meetings and all continuous improvement activities Creating ad hoc reporting or recommending operating solutions/automation to improve the QA function Key Requirements: Quality Assurance/Compliance experience within an FCA or similarly regulated background Audit experience Data handling using excel formulas, pivot tables and vlookup Ability to deliver reports

Resource Planning Analyst

Plymouth

N/A

This resource planning analyst role has been created to provide a highly specialised service that brings together information regarding customer demand and resource supply. It is an advisory role that ensures optimum use of time/cost/resource to maximise collections performance whilst identifying potential opportunities for improvement. The main duties and responsibilities of the role are: Collate information from a wide range of sources e.g. operational/specialist teams, and economic and regulatory indicators, together with known historical patterns of customer demand Interprets specialised internal and external data to create customer demand forecasts using dedicated tools Create effective resource and demand plans that take into account all internal and external data, that ensures we can operate effectively and maximise performance Works across the function to ensure that plans align and adhered to Proactively intervenes in the event of issues arising when plans are live and take steps to resolve and reforecast where appropriate Monitors effectiveness of resource and demand plans whilst in operation and applies to future forecasting Engages operation and specialist areas to promote understanding of and buy in to the planning Essential Qualifications and Skills Desired: Highly numerate/strong analytical skills Knowledge of forecasting methodology & regression analysis Good understanding of end to end resource planning methodologies including scheduling Strong stakeholder management & engagement Expert knowledge of Excel

Customer Resolutions Specialist

Chester

£18,500 - £20,000

You will be responsible for providing great care and service to our holidaymakers and property owners before, during and after their holidays. You will be taking inbound calls and emails, providing a positive and pro-active resolution service for any issues that customers may have before, during or after their holiday. This will vary from routine queries to complex issues and complaints, and you will need to work with the customer and colleagues across the business to achieve a solution that helps the customer have a great holiday. You will be responsible for managing a caseload of customer contacts and ensuring customers receive a response within agreed service targets. You will also be responsible for keeping detailed written records of cases, and escalating any high priority cases in line with company policy. About You You will be a compassionate and customer-orientated team player with a commitment to great service and an ability to "think outside the box" in order to provide a solution. Previous experience in a customer services role is essential, and you will have a strong track record of successfully resolving complaints using excellent negotiation skills. You will have an excellent eye for detail, fantastic communication skills and an ability to maintain detailed notes on cases. You will be proactive, reliable and have an ability to spot problems to prevent them escalating before they happen. Experience in a sales or cross selling role would be beneficial (but isn't essential) and conflict resolution training or experience would be welcome but is not required. Experience in the travel and/or property sector would also be helpful, but full training will be provided. Although we work hard, we also believe in rewarding that hard work. In addition to competitive salaries, we offer a generous benefits package including: 28 days holiday (including bank holidays) Annual bonus scheme Staff pension Private Medical Death in Service payment Enhanced maternity and paternity pay Long service awards - cash payments and increases in holiday allowances Staff discount on cottage holidays Free worldwide travel insurance (including family members) Wellness extras, including free annual flu jabs, reflexology sessions and free fruit supplied in the office

On-line Sales and Service Expert/Webchat (Full-Time)

Chester

£17,500 plus realistic monthly bonus

Are you a highly motivated sales person? Are you passionate about delivering fantastic service to achieve your goals? Do you thrive on achieving targets for great rewards? Do you feel rewarded with instant feedback from customer? Then we have the PERFECT role for you…! Our client is looking for driven and motivated people to join their Sales and Service Team as a Web Chat Expert. Our client is dedicated to helping their customers find their ideal holidays or ensuring customers are ready to have a great holiday through outstanding service and knowledge, alongside maximising sales for the business. They always go the extra mile for their customers to ensure they stand out from the rest. Roles and Responsibilities: Web Chat Experts handle online enquires from customers who are looking for help and advice in booking their holidays We also help customers who have already booked giving them the perfect holiday experience Liaising with clients to maximise their profits and get the best results for their businesses Convert enquiry calls into bookings by ensuring we get the right Holiday for our customers We are looking for applicants who have a proven record in achieving/exceeding targets in a sales role, as well as having excellent communication skills. We have part time roles available over a 7 day trading week, and both include some evening and weekend work. We are open between 9am-10pm (seasonal hours apply). Due to our business growing we run new induction training courses several times a year, so send us your CV and you could be joining our multi-award winning company!!! Our next induction training starts on the 4th June 2018. Useful things to know The role will be based in Chester with a great benefits package on top of basic salary including: Target based bonus scheme of up to £400 per month pro rota Competitive Salary Discounted holidays for you and your friends and family Full training provided Award winning, innovative, rapidly expanding company with fantastic new offices adjacent to public transport hub Working on a rota basis which is planned 4 weeks in advance so you can plan your work/life balance Private Medical (for you and family) Death in service payment Pension Free worldwide travel insurance (for you and family) Long service awards Wellness extras - free flu jabs, reflexology sessions and fruit available in the office

On-line Sales and Service Expert/Webchat (Part-time)

Chester

£15,000 - £17,500

Are you a highly motivated sales person? Are you passionate about delivering fantastic service to achieve your goals? Do you thrive on achieving targets for great rewards? Do you feel rewarded with instant feedback from customer? Then we have the PERFECT role for you…! Our client is looking for driven and motivated people to join their Sales and Service Team as a Web Chat Expert. Our client is dedicated to helping their customers find their ideal holidays or ensuring customers are ready to have a great holiday through outstanding service and knowledge, alongside maximising sales for the business. They always go the extra mile for their customers to ensure they stand out from the rest. Roles and Responsibilities: Web Chat Experts handle online enquires from customers who are looking for help and advice in booking their holidays We also help customers who have already booked giving them the perfect holiday experience Liaising with clients to maximise their profits and get the best results for their businesses Convert enquiry calls into bookings by ensuring we get the right Holiday for our customers We are looking for applicants who have a proven record in achieving/exceeding targets in a sales role, as well as having excellent communication skills. We have part time roles available over a 7 day trading week, and both include some evening and weekend work. We are open between 9am-10pm (seasonal hours apply). Due to our business growing we run new induction training courses several times a year, so send us your CV and you could be joining our multi-award winning company!!! Our next induction training starts on the 4th June 2018. Useful things to know The role will be based in Chester with a great benefits package on top of basic salary including: Target based bonus scheme of up to £400 per month pro rota Competitive Salary Discounted holidays for you and your friends and family Full training provided Award winning, innovative, rapidly expanding company with fantastic new offices adjacent to public transport hub Working on a rota basis which is planned 4 weeks in advance so you can plan your work/life balance Private Medical (for you and family) Death in service payment Pension Free worldwide travel insurance (for you and family) Long service awards Wellness extras - free flu jabs, reflexology sessions and fruit available in the office

Customer & Owner Resolutions Specialists

Chester

£18,500

Hours: Mon – Fri 9am – 5.30pm, working one day at the weekend per month. When you work at the weekend you get a day off in lieu Job Description: You will be taking inbound calls and emails, providing a positive and pro-active resolution service for any issues that customers may have before, during or after their holiday experience. This will vary from routine queries to complex issues and complaints and you will need to work with the customer and colleagues across the business to achieve a solution that helps the customer have a great holiday. You will be responsible for managing a caseload of customer contacts, and ensuring customers receive a response within agreed service targets. You will also be responsible for keeping detailed written records of cases, and escalating any high priority cases in line with company policy. About You: You will be a compassionate and customer-orientated team player with a commitment to great service and an ability to "think outside the box" in order to provide a solution. Previous experience in a customer services / customer care role is essential, and you will have a strong track record of successfully resolving complaints using excellent negotiation skills. You will have an excellent eye for detail, fantastic communication skills and an ability to maintain detailed notes on cases. You will be proactive, reliable and have an ability to spot problems to prevent them escalating before they happen. Experience in a sales or cross selling role would be beneficial (but isn't essential) and conflict resolution training or experience would be welcome but is not required. Experience in the travel and/ or property sector would also be helpful, but full training will be provided

Contracts Specialist

Chester

£17,000 - £18,000

On a daily basis you will work through a list of ‘pricing approval’ tasks, which are generated after the Property Consultant has completed their property visit and submitted their report, alongside suggested prices on our internal systems. You will scrutinise the pricing structure and ensure it is accurate by referencing against other properties that we market, having assessed their attributes and performance levels. You will take ownership of each property lead that you have assessed and progress this lead through to the contract signed stage, negotiating with the owner and answering any questions that the owner might have. There may be a need to agree variation to commercial terms and you will be given frameworks to work within under the guidance of the Contracts Team Manager. You will also support other teams within the owners department and business as a whole, exuding professionalism and commercial acumen at all times To provide accurate and optimised pricing structures for the properties that we market. To agree commercial terms and maximise all contract acquisition opportunities. To support teams within the business on price decisions for existing owners to help maximise revenue and reduce churn. Essential Experience: Good numeracy and data interpretation skills Understanding of factors affecting price levels Excellent communication skills (written and verbal) Proven negotiator in difficult situations Commercial awareness (ideally within the holiday lettings or travel and tourism industry) Understanding of browser based IT systems Experience of using MS Office suite (Excel etc) Able to work in a target driven sales environment. Desirable Experience: Data analysis and data interrogation experience Understanding of demand elasticity and revenue management Experience of contract and commercial terms negotiation Ability to liaise with and provide feedback to a field based regional manager team Experience of working within the travel and tourism industry and/or property sectors (e.g. estate agency or residential lettings) Personal Attributes: Hunger to succeed in a sales oriented, target driven environment Excellent written and interpersonal skills and the ability to challenge constructively. Effective team working and the ability to work independently using own initiative. The ability to plan, prioritise and organise own workload. Confident and inspirational team member Excellent interpersonal skills The Contracts Team are responsible for progressing property leads from the ‘site visit’ stage, through to the ‘contract received’ stage in our new owner’s journey, maximising visit to contract conversion rates. You will be responsible for: Assessing and approving pricing proposals as submitted by our Property Consultants Communicating pricing proposals to potential new owners, and negotiating on price levels when required. Liaising with Property Consultants to provide feedback on pricing, and coaching where necessary Diarising follow up calls with owner at appropriate intervals in order to secure a signed contract. Negotiating commercial terms with owners under the guidance of your line manager. You will also be a point of contact for the New Owner Team, who will have queries from existing owners regarding the prices you approved originally. This ensures we give new owners the specialist support they deserve during their nursery period, helping us set up those properties for success and keep ‘churn’ to a minimum. The post holder will be a constant role model for the companies values, and ensure they become a key part of the team giving every potential new owner a ‘World Class Customer Experience’. The role includes identifying, sharing and spreading best practice throughout the business, and demonstrating excellent teamwork.

Property Specialist

Chester

£16,000 - £17,000

Hours: We are looking for a full time flexible individual who is able to work both evening shifts (8pm) and weekends. (One weekend day every other weekend) Job Description: Are you driven for success in a target originated environment? Are you highly motivated and enthusiastic with a hunger to succeed? Are you able to quickly build rapport and develop long-standing relationships? Are you commercially minded with a passion for property? Do you have excellent written and verbal communication skills? Our main aim and focus is to secure a visit with one of our local property consultants. Making good use of the information gathered you must impress the owner with our knowledge and expertise. About you: You will have proven experience of successfully working to targets in a sales-orientated role and be driven to achieve high performance against targets. You will have excellent communication skills, and an ability to quickly build up a rapport with a new customer. You will be commercially minded, and able to negotiate successfully and have the ability to create detailed, well-written call records. You will work effectively as part of a small, busy team whilst being able to take ownership of your own performance. We'd welcome candidates with a strong geographical knowledge of the UK, and experience from the property sector, but these aren't essential. Essential Experience: Outstanding verbal communication skills Commercially minded and able to negotiate and influence A high performer and proven sales achiever Good standard of written work with accuracy and attention to detail Desirable Experience: Have good geographical knowledge of the UK IT literacy of the following packages; Windows, Word and Excel. Proven ability within a sales environment Confident and able to use initiative Business to business experience desirable but not essential. We are looking for a dynamic, self-motivated person to join our Property Recruitment Team. You will be first point of contact for Potential New Owners looking to put their holiday cottage with an online agency. You will need to wow and excite these Potential New Owners by selling the fantastic benefits of working with us. If you can answer yes to the following questions we would be delighted to hear from you.

Internal Audit Manager

Leeds

Up to £60,000 plus benefits

My client is undergoing a dynamic, transformational and strategic programme of change. As a result of this, the Internal Audit function is expanding to meet the ever-increasing need for timely and robust assurance. If you are looking for a new opportunity in a progressive organisation which puts the customers at the heart of everything they do, then this could be the opportunity for you. As well as exciting projects and themed reviews to work on, they offer excellent support and development and an environment you can really thrive in. Reporting to the Senior Audit Manager, Key responsibilities include Manage relationships with key stakeholders that are challenging, constructive and professional, aiding the performance of audits. Plan and deliver audits, on time and within budget, which provide adequate assurance over the key risks within the scope of the audit. Work with the Resource Manager to secure the required resources for the audit assignment and co-ordinate the day-to-day activities of audit team colleagues. Deliver robust audit reports, opining on the adequacy of the control environment, the root causes and themes of issues and the risk culture. Understand the activities and findings of other assurance providers (such as external audit and Group Risk) to consider the impact of their findings on audit assignments. Influence colleagues across the group to embed robust, cost-effective controls to strengthen the overall control framework in response to weaknesses identified by Internal Audit. Identify opportunities to improve the operation of Internal To succeed in the role you will hold a relevant degree or professional qualification and demonstrate the following skills Evidence of professional learning and development to build and maintain skills and expertise. Broad knowledge of internal auditing in areas of responsibility Project management skills and experience of leading small teams working with pace whilst maintaining quality. Ability to make professional judgements on the adequacy and effectiveness of control frameworks, demonstrating commercial awareness and sound business judgement. Ability to challenge the status quo. Experience of leading audit teams in reviews from planning to report issuance. Strong internal and external stakeholder management and influencing skills. Strong written communication skills, able to author reports with minimal oversight.

Senior Paraplanner

Newcastle upon Tyne

£35,000 + Benefits

Our client is a highly regarded company who are recruiting for a Senior Paraplanner. The purpose of the roles is to provide technical support, recommendations and report writing for the financial planning consultants. The role: Research and analyse products and providers for new clients, compiling suitability reports Periodically reviewing available products; pro-actively seeking new product details to ensure appropriate recommendations can be made, meeting all client needs Researching investment funds on an ongoing basis, to ensure they are performing in line with expectations. Ensure all recommended funds are suitable for a client’s risk attitude and in line with investment ethos Reviewing both new contracts and alterations in product provider’s terms. Make product recommendations to Financial Advisors Ensuring that all research material is on file and that records are organised Maintaining procedures for the 'back office’ Provide support to the financial advisers to ensure compliance and new business submission documentation is accurate Undertake annual review for existing clients, researching, analysing and making recommendations where applicable. Key Requirements: Experienced paraplanner with ideally two years in the role of actual report writing Excellent knowledge of key areas of financial planning, including trusts, personal taxation, pension legislation, protection and investment principles Level 4 Diploma qualified

Trainee Claims Handler

Milton Keynes

£17,900

Following a full training programme, to be responsible for a portfolio of motor claims, including the assessment, valuing and settlement of the claim To deliver a positive customer experience by communicating with our stakeholders in a helpful, proactive and professional manner To handle and settle claims made upon the Bureau promptly and fairly To process work chronologically and/or in order of priority as advised, and to help out other claims handlers to ensure that this is achieved when necessary To deal with, under the supervision of the Claims Team Manager, all aspects of claims handling including letter writing, telephone contact, diary management, valuation, negotiation and settlement of the following types of claim / loss: Loss or damage to property Straightforward liability Issues Costs - predictable scheme Minor personal injury claims To act within set handling authorities as defined by the Claims Authorities Matrix To ensure that the customer outcome and quality of customer experience is at the heart of the work To complete all necessary elements of the training and development requirements for a Trainee Claims Handler Relationships To have and display excellent, professional working relationships at all levels and set a good example to all staff, visitors and contacts To be clearly recognised as someone who displays a positive attitude to the Bureau, its management and the business rules to which they adhere Skills and knowledge An understanding and application of the MIB agreements and claims handling processes / procedures, gained from experience of working as a Trainee Claims Handler or similar. This should include: Uninsured Drivers Agreement and/or Untraced Drivers Agreement and /or Internal Regulations The Road Traffic Act Article 75 EC Directives To be able to use the AS400 or similar system as well as Microsoft based products To understand and use the expert valuation system within the operating criteria, and fully appreciate the need and benefits of the same An understanding of motor insurance and claims principles in general A basic understanding of the Civil Procedure Rules and MIB stance on litigation Excellent customer service skills with a focus on putting the customer first

Paraplanner

Manchester

c.£35,000 + Benefits

Our client is a well-respected financial services organisation looking for a Paraplanner. The role involves working closely with financial planning consultants, with full support provided by our internal team of administrators. The purpose of the role is to provide technical support by way of research, recommendations and report writing for the financial planning consultants. This is an excellent career development opportunity for an experienced paraplanner to work with large and complex financial solutions in a prestigious firm. The role: Research and analyse products and providers for new clients Formulating advice and compiling Recommendation Reports Create the client file on the firms systems Analyse the Know Your Customer information provided by the adviser Consult with the adviser and agree the most suitable solution Conduct relevant research using tools provided by the firm Ensure all the required documents to support the recommendation are retained in the client file by referencing the Minimum File Contents form Maintain the firms record and reporting systems Liaise with the firms Business Quality team to achieve consistency in advice quality standards Key Requirements: Experienced paraplanner - ideally with 2 years + in the role Level 4 Diploma or working towards this Excellent knowledge of key areas of financial planning, to include trusts, personal taxation, pension legislation, protection, and investment principles.

Market Risk & Controls Manager

London

£75,000 - £90,000

I am working with a top US corporate bank based in London. This is a growth hire within the EMEA Market Risk Solutions Team. The team is responsible for delivering a range of FX and market risk products to meet the liquidity and market risk management needs of investors and companies in the innovation ecosystem. The business is growing quickly and has ambitious plans to build out new proposition and coverage. You will be responsible for undertaking and enhancing the risk and control processes and testing in this fast growing business as a ‘first line of defence’. This will include utilising the new tools implemented as a result of our MiFid II project to ensure ongoing compliance with this and other relevant rules, regulations and best practice. Responsibilities: Enhance and manage the ‘end to end’ first line risk and control framework for the Market Risk Solutions business, ensuring compliance with all applicable rules and regulations Review and testing of controls around key processes within the business: Client Set-Up and documentation Life cycle management ( MTM, Collateral management) Confirmations Reconciliations Pricing Transaction monitoring and reporting Agreement management and amendment process. e.g. FX agreement and ISDA process effective and all agreements are valid and reasons for amendments are reviewed Ensure, through regular monitoring and review, that all trades are in line with regulation and UK branch, EMEA and bank policies and client agreements, which includes review of: Communications (electronic and voice) Best execution and order handling Coordinate across teams within the bank to reports, investigate and resolve issues identified such as operational errors, risk events, audit or compliance review management actions Qualifications: Knowledge of FX and other risk management and international payment products Knowledge of the relevant rules, regulations, codes and best practice around Foreign Exchange and other market risk products Experience in a Middle Office, Operational Risk or audit and compliance role for a markets business and specifically in designing, implementing and managing control frameworks and testing of those control processes Experience of interacting with front office, operational, compliance and internal audit teams and coordinate activity across these teams as well as able to work independently. Strong organizational and time management skills. Excellent communication skills An interest in global markets, the innovation and investor sector.

Compliance Monitoring Officer

Manchester

c.£40,000 + Benefits

Our client is a well-respected financial services organisation looking for a Compliance Monitoring Officer. Reporting to the Head of Compliance the Compliance Monitoring Officer will carry out client file reviews in line with agreed contracts. The role: To understand and apply firm specific client file review requirements to client file reviews completed, where necessary these firm specific sheets should be updated. To undertake client file reviews for clients from the company office, on occasion it may be appropriate that these are carried out at the client’s premises or any other location to be agreed as needed by the business. To produce file review assessment sheets and reports in line with the company Compliance File Review Consistency programme, whilst meeting the requirements of the quality assessment programme. To act with professionalism at all times when dealing with clients and colleagues. To advise the company of any assistance required in order to meet the objectives, KPI and key requirements of the role. Be adaptable to the development of the role To follow the company staff handbook and internal compliance and T&C procedures. Key Requirements: Minimum of QCF Level 4 Diploma qualification and ideally AF3/G60 qualified Minimum of 2 years working within a compliance monitoring role. Excellent interpersonal skills and be able to self-motivate and also be a team player

Technical Service Adviser

Manchester

c.£40,000 + Benefits

Our client is a well-respected financial services organisation looking for a Technical Service Adviser to deliver high quality regulatory support and guidance in relation to client file reviews. The role: Review client files in line with company procedures. Construct a professional and clear report on each file identifying areas where the firm can improve their regulatory behaviour; Build rapport with Business Consultants in order to forge good communication links and help provide a bespoke service. Maintain up-to-date CPD records demonstrating that skills and knowledge required to do the job are being maintained and enhanced Provide support to the Technical Services Partner as required Assist other Technical areas (Policy, Helpdesk) as required. Key Requirements: Level 4 Diploma qualified at a minimum Sound knowledge of UK regulatory framework 3 years financial services industry experience, of which 1 year should involve regulatory experience in relation to client file reviews.

Training and Competence Associate

Newcastle upon Tyne

c.£38,000 + Benefits

Our client is a well-respected financial services organisation looking for a Training and Competence Associate. The role: To assist advisers and Partner Firms with achieving their business objectives Undertake telephone based Compliance and Supervision coaching with advisers in line with the firms Compliance requirements and Training & Competence Scheme Support the development of adviser competence. Identify the training needs of new and existing colleagues by liaising with Group Compliance Managers Contribute to the design and delivery of training and development programmes based on the needs of the organisation and the individual as instructed by the Group Operations Director. Record and report monthly MI accurately reflecting T&C activity Assist the Group Head of Compliance to ensure that statutory training requirements are met Provide updates on trainee progression, general attitude and adherence to company policies and procedures Undertake any further duties determined as reasonable and necessary in fulfilment of role Define and provide evidence (record keeping) of competence for all authorised advisers, both attaining & maintaining competence Supervise, coach and mentor trainee advisers (or those deemed as non-competent) Key Requirements: 2 years financial services industry experience, of which they have ability to demonstrate key working examples of key tasks Qualified to Level 4 Diploma Standard – essential Sound knowledge of UK regulatory framework Previous experience of training and/or coaching a team or individuals

Risk Manager

London

£55,000 - £65,000

MERJE have been retained by a globally renowned professional accountancy governing body to recruit a Senior Manager to take ownership of the design and delivery of their AML framework. The position reports directly into the Head of Internal Audit and is responsible is responsible for championing the risk management process and improving staff engagement across globally, thereby enabling more effective identification and management of risks. Key Responsibilities: To engage with all levels of the organisation including Audit Committee and the Executive Team, to enhance and embed risk management processes. This will require effective challenge and support at Audit Committee and Executive Team meetings to ensure the capture and mitigation of key risks. To develop good relationships and work closely with staff to lead and promote best practice in risk management. This will include helping to develop and finesse the risk appetite to drive a more effective decision making process To enhance and promote the risk escalation process which should encourage and assist all departments to identify and escalate risks to senior management and the risk manager To develop, design and deliver risk assessment training and awareness workshops to support and equip all staff sufficiently to identify and manage risk at both strategic and operational levels To work collaboratively with colleagues in the Corporate Assurance team (which comprises Internal Audit, Legal and Information Security Assurance) to ensure there is a clear two-way communication process in place to provide timely and relevant information which will inform each other’s work (including the annual audit plan) To work collaboratively with key parts of the business, including the Strategy and Project Management Office to ensure risks are considered within the planning and project processes and inform key decision-making processes. Knowledge, Skills and Experience: Hold a university degree or has completed equivalent higher education Possesses [or is actively working towards] a relevant professional risk or accounting qualification Relevant track record of delivering Risk Management in a comparable corporate environment Demonstrate an excellent understanding or Enterprise Risk Management principles and their practical application Excellent written and oral communication skills, with the ability to challenge effectively and persuasively at all levels within an organisation Communicates with other people without requiring direct supervision and provides technical guidance when required on speaking in a clear, concise and compelling manner Receptive to working in a changing environment and with a flexible attitude to work.

Modelling Senior Manager

London

£75,000 - £85,000

I am working with a Big 4 Consultancy who are recruiting into their Modelling team due to added demand from clients. The Senior Manager will be responsible running projects and the development of junior staff. The Team: Contributing to and driving the growth of the modelling team Leading large projects to support clients in tackling business issues Applying technical skills to devise compelling and well thought out solutions to complex problems Building constructive working relationships to develop internal and external networks The Role: You will be responsible for managing the growth of a high performing a dynamic team, working across multidisciplinary teams. You will leverage existing managerial experience and leadership skills to help grow and develop the modelling team You will be able to build strong client relationship and effectively take propositions to market You will manage teams of modellers and other professionals to provide high quality and flexible modelling solutions for a diverse range of clients You will be responsible for end to end engagement and stakeholder management You will use existing Excel, VBA, and/or SQL skills to support delivery and develop capabilities, share knowledge on solutions, and best practice techniques You will support the professional development of the junior members within the team The Person: Recognises the importance of continuous self and team development and actively strives to achieve this. Helps others to understand how their work contributes to the overall success of an engagement and the wider firm Fosters a sense of self belief and confidence in others Seeks to understand others motivations Supports others to make brave decisions Experience in a senior management role managing projects, clients and senior stakeholders Experience scoping, designing and building financial models in best practice Experience in managing multiple projects simultaneously Experience in building and maintaining strong working relationships across a range of teams Experience in developing new strategy and propositions to generate business Experience in performance management and developing & retaining talent A first-class or upper second-class degree in a numerate subject Strong IT skills (Excel, VBA, and preferably SQL) Strong communication skills to be able to describe complex technical issues in a clear and non-technical way Strong commercial awareness and understanding of key concepts and issues in the financial services sector

Principle Consultant-Information Risk

Reading

£75,000 - £85,000

Working for one of the UK’s leading specialist resourcing and consulting firm focused on governance, risk and compliance in the areas of regulatory conduct and financial crime. You will work to mitigate and manage their regulatory risks, and to ensure they provide positive outcomes for their customers. The demand for our services is growing, which has created an opportunity for a new Principal Consultant for Information Security. The Principal Consultant is responsible for developing the Information Security service offering and for overseeing the delivery of that service. This includes the use of Advisory services, Resourcing solutions and workflow models (process re-engineering, automation and outsourcing). Job description: Identify and drive the development of emerging commercial opportunities Develop an increased range of Information Security products and services Drive increased market awareness of the Information Security products and services Develop and win commercial opportunities Oversee delivery of Information Security contracts, including providing operational support for the delivery where appropriate Essential skills: Certified Information Systems Security Practitioner (CISSP) Detailed knowledge of GDPR requirements and business control solutions Cyber Security / Cloud Computing / Digital Web Commerce knowledge Proven ability to develop and deliver market relevant Information Security services Proven ability to develop network of valued commercial relationships Working knowledge of ‘Robotics Process Automation’ Results focused Desirable skills: Ability to map business process and to re-engineer in order to drive efficiency and control improvements Working knowledge of I.T. security architecture and design Business Continuity Management and Crisis Management planning experience Project management

Senior Credit Risk Analyst

Staines

£45,000

Working as a key member of the risk analysis team to ensure the Credit Risk function is robust and managed within the key requirements of the business. The ideal candidate will have a very strong background in analytics and Credit Risk from a mortgage lending institution, preferably with experience covering the full customer lifecycle, including new lending, account management, fraud prevention and arrears management. This candidate will be a key member of this business. Major Activities and Responsibilities: Provide business with data based insight and recommendations for changes and improvements to product range, application process, strategy design, collections activities and operations processes Solving complex business problems and providing practical value based solutions. Build and Develop capability within the organization to design, monitor and enhance credit and fraud risk strategies and policies. Ensure the business operates within the regulatory requirements for new business origination through to arrears management Provide the business with the optimal analytical framework to make sound judgment based decisions on new lending requests Produce analytics to monitor and provide insight across the customer journey and lifecycle, making recommendations to change current processes and strategies Provide insight to and set expectation for portfolio and segment trends through targeted analysis, forecasting and the development of regular MI. Develop and enhance credit risk models Work closely with colleagues across the group to deliver projects and the change agenda. Skills and Experience Required (or desired): University degree in technical field (eg. mathematics, physics, statistics) Relevant experience of credit risk/analytics roles Knowledge of first and second charge mortgages Hands on strong knowledge of analysis software languages – SAS Highly proficient using Excel and other analysis tools Statistical background to produce reporting and models Excellent communication skills and ability to convey complex ideas/insights to non-technical members of the team Ability to work in an extremely fast paced start-up environment Excellent verbal and written communication skills Extremely self-motivated / Operate independently

Credit Risk Systems Analyst

Staines

£45,000

Working within a leading mortgage provider you will support the development, implementation, monitoring and optimization of new customer strategies and policies utilizing Experian's PowerCurve (SDS) software across multiple portfolios and the on-going evolution of new customer management strategies ensuring business objectives are met. Analyse business and functional requirements providing SME knowledge to deliver effective strategy changes. Enhance relationships with internal and external partners to ensure accurate and effective execution of business-critical strategies. Support the development of enhanced testing, documentation, monitoring, governance, and control. Responsible for working directly with business and operational teams to implement business critical strategy improvements including, but not limited to; credit policy, credit limit management, and risk based pricing and scorecards. Provide input into key phases of the change lifecycle which include design, test and go live support. Accountable for the on-time and to specification implementation of strategy changes demonstrating robust testing methodology. We are looking for an individual with a strong analytical mind who has experience in analysing credit and risk in the financial services sector and has developed innovative solutions on how to assess risk at an individual level. To provide accurate, timely and appropriately presented internal and external corporate and service level reporting and analytics Responsible for documentation of strategies and policies adhering to strict governance controls. Experience required: Essential: 1-2 Years’ experience within a regulated financial services organisation. A degree level or equivalent education in a numerate or analytical discipline. Strong analytical and problem-solving skills. Risk strategy development experience with a core background in Secured Credit Risk. Experience in managing relationships with internal and external stakeholders Strong desire to learn and ability to work in a fast paced start up environment Desirable: Direct experience of PowerCurve (SDS). Also considered: Blaze, Triad or other automated decisioning development software. Advanced data manipulation skills in Excel. Experience in developing/ maintaining solutions using VBA. Experience of implementing/ maintaining loan solutions. Strong communication skills. Prior knowledge of, and experience of working with SAS or similar data package. Previous Underwriting experience with oversight and input into policies, mandates, and procedures. Other desirable coding experience: R, SQL, Python, XML technologies (not essential)

BI Architect/BI Developer

Chester

£40,000 - £65,000

As the BI Architect / BI Developer, you will assist with the development and implementation of the short, medium and long term BI strategy. The Client: A Fintech start-up offering innovative, customer-focused products and a relaxed, flexible working environment. This Client does not provide sponsorship. Key Responsibilities of the BI Architect/BI Developer: Lead projects relating to the build, development, implementation and ongoing maintenance of the BI function Shaping and managing the future technical direction of the BI solutions Develop Data, BI and Central Systems Architecture principles, standards, patterns specific to the IT landscape and strategic direction The ideal candidate for this BI Architect / BI Developer opportunity will have the following knowledge, experience and understanding: Strong leadership skills with the ability to lead, motivate and facilitate complex projects Experience building data marts, Data Warehousing, data modelling, etc. Extensive BI Architecture with MS products

Risk Assurance Officer

Manchester

£25,000 - £35,000

Our client is a leading financial services’ business who are currently recruiting for a Risk Assurance Officer. The role will be responsible for undertaking review activities which interrogate, investigate and challenge regulatory and legislative risk exposures. Key Responsibilities: Delivery of activities forming part of the Compliance Monitoring & Risk Assurance Plan in accordance with the team procedures and methodologies. To support maintenance of the team procedures and methodologies (and to adopt best practice, efficiencies and economies of scale where appropriate). To engage with Key Stakeholders to ensure that relevant regulatory and legislative risks to the business are identified, communicated and addressed during monitoring. Interpret and apply relevant regulatory and legislative guidance to the business areas and provide pragmatic alternative solutions and support to the business where standards are deemed to be non-compliant. To present findings and reports including suggestions for relevant remedial actions, in a clear, accurate and consistent manner. To maintain appropriate and sufficient records to support and evidence the approach and outcomes of each monitoring and risk assurance activity. To maintain and develop relationships with key business customers whilst retaining the independent status required of a monitoring and assurance function. To escalate risks and issues to the Risk & Compliance Manager and / or Divisional Risk & Compliance Director as appropriate. Key Requirements- Good experience in a risk assurance, compliance monitoring, operational risk or internal audit environment Knowledge of financial services and relevant financial services’ regulation including OFCOM/OFGEM and OFWAT Knowledge of business continuity, information security and financial crime would be beneficial.

Senior Credit Risk Analyst/Credit Risk SME

Cheshire West and Chester

£30,000 - £50,000

As the Senior Credit Risk Analyst / Credit Risk SME you will be heavily involved in hands-on data and analytical duties to support the growth of the business. This is a fantastic opportunity to join at ground level and influence the future of the business. The Client: A Fintech start-up offering innovative, customer-focused products and a relaxed, flexible working environment. This Client does not provide sponsorship. Joining the business in its early stages, this will be a broad role working across the entire Credit Risk life cycle. An excellent opportunity to develop a variety of skills, with the possibility to build and develop a team in future as the company grows. The business is aiming to grow their product offering from loans to savings products and mortgages over the next few years. This will be a hands-on analytical role in a smaller business, suitable for someone who is motivated to drive innovation and business strategy. A variety of levels of experience will be considered. If you tick any of the following boxes, get in touch: Experience in a Credit Risk role Knowledge of SAS, SQL or Python Experience in Credit Risk strategy, policy, analytics or portfolios Consumer loans is ideal, other product experience will also be considered Highly motivated, innovative, forward thinking Desire to join a small, hands-on business and be involved in a wide variety of duties

Compliance Monitoring Officer

Manchester

£25,000 - £35,000

Our client is a leading financial services’ business who are currently recruiting for a Compliance Monitoring Officer. The role will be responsible for ensuring that business activities are meeting industry and regulatory compliance standards. Key Responsibilities: Delivery of activities forming part of the Compliance Monitoring & Risk Assurance Plan in accordance with the team procedures and methodologies. To support maintenance of the team procedures and methodologies (and to adopt best practice, efficiencies and economies of scale where appropriate). To engage with Key Stakeholders to ensure that relevant regulatory and legislative risks to the business are identified, communicated and addressed during monitoring. Interpret and apply relevant regulatory and legislative guidance to the business areas and provide pragmatic alternative solutions and support to the business where standards are deemed to be non-compliant. To present findings and reports including suggestions for relevant remedial actions, in a clear, accurate and consistent manner. To maintain appropriate and sufficient records to support and evidence the approach and outcomes of each monitoring and risk assurance activity. To maintain and develop relationships with key business customers whilst retaining the independent status required of a monitoring and assurance function. To escalate risks and issues to the Risk & Compliance Manager and / or Divisional Risk & Compliance Director as appropriate. Key Requirements- Good experience in a risk assurance, compliance monitoring, operational risk or internal audit environment Knowledge of financial services and relevant financial services’ regulation including Knowledge of business continuity, information security and financial crime would be beneficial.

Operational Risk Manager

Birmingham

£400.00 per day

Our client is a leading bank who are currently recruiting for an Operational Risk Manager for an initial 3 month day rate contract. The role will be responsible for maintaining the operational risk framework and accompanying standards. Ensuring that the Operational Risk Framework and accompanying standards are understood and embedded across the bank. Key Responsibilities: Drive, influence, monitor and support the development, implementation and reporting on end to end Operational Risk Frameworks, ensuring that they are fit for purpose for the size, nature and complexity of the Bank and comply with regulatory and legislative requirements. Build and deliver an effective independent oversight, review and challenge framework for execution across the business units and support functions ensuring compliance to the Operational Risk Framework. Build, design and deliver an effective Operational Risk Training program covering all layers of the organisation. Provide strong subject matter expertise to advise and challenge working closely with the Risk Champions. Deliver ad-hoc investigations, internal and external reporting as required. Perform gap analysis against industry standards as required and horizon scanning to ensure that new regulation or guidelines are considered for implementation. Lead Operational Risk Scenario Workshops with Risk Champions, Senior Management and other subject matter experts. Deliver one off activities and projects to the outcomes and standards agreed with line manager. Key Requirements: Strong experience in an Operational Risk Manager role, preferably within a banking or similar regulated environment. In depth technical knowledge of sophisticated operational risk; identification, assessment and remediation monitoring tools Commercial, business focussed with strong judgement and integrity

Operational Risk Analyst-MI Reporting & Systems

Birmingham

£400.00 per day

Our client is a leading bank who are currently recruiting for an Operational Risk Analyst for an initial 3 month day rate contract. The role will be responsible for building out and implementing a fit for purpose system for the management of Operational Risk practices. Key Responsibilities: Design, build and implement an Operational Risk MI and reporting suite that is fit for purpose for relevant Governance Committees up to Board level reporting. Maintain and produce regular and ad-hoc Operational Risk MI and reporting. Build out the capabilities of the in-house Operational Risk system and implement and embed for use across the Bank. Implement, administer and monitor information security management and user access control for the Operational Risk System. Provide strong subject matter expertise and design and execute the Operational Risk System training plan to increase operational risk competence at all levels across the Bank. Deliver one off activities and projects to the outcomes and standards agreed with the line manager Key Requirements: Experience in Financial Services industry. Advanced Excel and SQL and database management Strong analytical skills; adept at interrogating complex information to identify cause and effect and deliver accurate business insight and MI.

Paraplanner

Manchester

£35,000 + Benefits

Our client is a highly regarded company who are recruiting for a Paraplanner. The purpose of the role is to provide technical support, recommendations and report writing for the financial planning consultants. The role: Research and analyse products and providers for new clients, compiling suitability reports Periodically reviewing available products; pro-actively seeking new product details to ensure appropriate recommendations can be made, meeting all client needs Researching investment funds on an ongoing basis, to ensure they are performing in line with expectations. Ensure all recommended funds are suitable for a client’s risk attitude and in line with investment ethos Reviewing both new contracts and alterations in product provider’s terms. Make product recommendations to Financial Advisors Ensuring that all research material is on file and that records are organised Maintaining procedures for the 'back office’ Provide support to the financial advisers to ensure compliance and new business submission documentation is accurate Undertake annual review for existing clients, researching, analysing and making recommendations where applicable. Key Requirements: Experienced paraplanner with ideally two years in the role of actual report writing Excellent knowledge of key areas of financial planning, including trusts, personal taxation, pension legislation, protection and investment principles Level 4 Diploma qualified

Head of Paraplanning

Manchester

£50,000 + Benefits

Our client is a highly regarded financial services organisation who are recruiting for a Head of Paraplanning to manage the team of Paraplanners. The purpose of the roles is to provide technical support, recommendations and report writing for the financial planning consultants. The role: Research and analyse products and providers for new clients, compiling suitability reports Periodically reviewing available products; pro-actively seeking new product details to ensure appropriate recommendations can be made, meeting all client needs Researching investment funds on an ongoing basis, to ensure they are performing in line with expectations. Ensure all recommended funds are suitable for a client’s risk attitude and in line with investment ethos Reviewing both new contracts and alterations in product provider’s terms. Make product recommendations to Financial Advisors Ensuring that all research material is on file and that records are organised Maintaining procedures for the 'back office’ Provide support to the financial advisers to ensure compliance and new business submission documentation is accurate Undertake annual review for existing clients, researching, analysing and making recommendations where applicable. Key Requirements: Experienced paraplanner with ideally 3-5 years in the role Excellent Pensions knowledge with qualifications to support Excellent knowledge of key areas of financial planning, including trusts, personal taxation, pension legislation, protection and investment principles Ideally G60 or AF3 qualified

Senior Compliance Advisory Executive

Cardiff

£57,000 + Benefits

Our client is a leading financial services’ business who are currently recruiting for a Senior Compliance Advisory Executive. The role will be responsible for providing technical support and guidance to the business and project teams in relation to policies, procedures and training, Key Responsibilities: Monitor regulatory fines and other market initiatives and complete business gap analysis to ensure business practices and processes, and its clients are not exposed to any weaknesses and are amended where required. Work alongside colleagues across the group to provide ongoing advice and guidance on regulatory requirements, and assisting the business in raising operational and service standards through the identification and recommendation of best practices Help embed and promote a compliance and risk culture across the business. Assist the Compliance Advisory Manager in the training and development of the Compliance Advisory Team, providing support and feedback to the team and identifying compliance training needs Deputise for the Compliance Advisory Manager as required Ensure that focus on appropriate customer outcomes is embedded in all department processes through controlled sign off of company policies, procedures and letters. Oversight and controlled sign off of Compliance Advice Support operational and regulatory projects acting as compliance SME to ensure regulatory requirements are met and any risk to the business are mitigated Deliver and implement operational and regulatory projects across Risk and Compliance and the business Key Requirements- Detailed knowledge of FCA, rules and guidance including: CASS, MIFID II, COBS, BCOPS, DISP Three years’ experience working in a financial services regulatory environment Ability to conduct analysis of regulatory requirements against client demands to ensure compliance Ability to review and interpret regulatory, industry and internal standards

Field Compliance Manager - CeMAP

Leeds

£34,000 plus car allowance

Financial Services firm are looking to hire a Field Compliance Manager to be responsible for managing a number of appointed representatives within a geographical area across Yorkshire. The position is a home based role with travel 2/3 days per week. Key Responsibilities: Ensure a consistent approach to compliance and regulatory policy Work closely with Advice Quality, ensure that all checks are followed up and any issues are dealt with promptly Use observation skills to identify areas of concern or development need of Advisors Effectively supervise Advisors within your span of control Ensure records are kept updated with all relevant and necessary information Proactively contribute to the wider compliance teams to improve processes and procedures Complete regular reviews of AR firms to ensure effectiveness of controls within the business, providing a report with a summary of findings and action plan to the relevant Approved Person Effectively handle any regulatory or compliance queries received from AR firms & Advisors, raising any action points as necessary Regular updates & completion of relevant back office system Identify and manage risk within the business (to include quality of client files, advice quality, advice process, new advisers moving through scheme, operating procedures etc.) Audit of new ARs when required ensuring that all activity & documentation meet the necessary standard Key Requirements- CeMAP qualification Experience working with mortgage advisers Ability to communicate at all levels with professionalism and integrity Motivational qualities to motivate the Advisors to strive for success Effective time management of self to drive efficiencies Able to demonstrate building effective relationships with key stakeholders Able to demonstrate good problem-solving skills, plan effective contingencies and solutions

Field Compliance Manager - CeMAP

Lancashire

£34,000 plus car allowance

Financial Services firm are looking to hire a Field Compliance Manager to be responsible for managing a number of appointed representatives within a geographical area across Lancashire. The position is a home based role with travel 2/3 days per week. Key Responsibilities: Ensure a consistent approach to compliance and regulatory policy Work closely with Advice Quality, ensure that all checks are followed up and any issues are dealt with promptly Use observation skills to identify areas of concern or development need of Advisors Effectively supervise Advisors within your span of control Ensure records are kept updated with all relevant and necessary information Proactively contribute to the wider compliance teams to improve processes and procedures Complete regular reviews of AR firms to ensure effectiveness of controls within the business, providing a report with a summary of findings and action plan to the relevant Approved Person Effectively handle any regulatory or compliance queries received from AR firms & Advisors, raising any action points as necessary Regular updates & completion of relevant back office system Identify and manage risk within the business (to include quality of client files, advice quality, advice process, new advisers moving through scheme, operating procedures etc.) Audit of new ARs when required ensuring that all activity & documentation meet the necessary standard Key Requirements: CeMAP qualification Experience working with mortgage advisers Ability to communicate at all levels with professionalism and integrity Motivational qualities to motivate the Advisors to strive for success Effective time management of self to drive efficiencies Able to demonstrate building effective relationships with key stakeholders Able to demonstrate good problem-solving skills, plan effective contingencies and solutions

AM Risk Advisory

London

£45,000 - £55,000

I am working with a Big Four Consultancy on a new hire within their growing Regulatory Strategy Team. Responsibilities: As an Assistant Manager you will have responsibility for: Leading the analysis and assessment of new regulatory requirements across capital markets, working with regulatory specialists to form points of view on the key issues and their strategic and operational implications for clients. Delivering and driving thought leadership on regulatory initiatives in capital markets by identifying relevant topics as regulations develop. Working closely and effectively with senior management team and stakeholders throughout the European network and beyond. Tracking new policy debates and identifying emerging topics. Developing assessments of the financial and operational effects of capital markets regulatory developments on clients and financial markets, with particular emphasis on the end-to-end trading landscape. Engaging with client facing teams to support them in regulatory impact analysis of specific issues and challenges. Qualifications Requirements: We are looking for individuals with a strong track record of analysis and a natural intellectual curiosity about regulatory developments in capital markets. While we expect the Assistant Manager to focus on capital markets, the individual will be able to draw on expert input internally, so the candidate does not need to have specific experience across all capital markets products and services. However, a deep understanding of at least one of EMIR, MIFID II, CSDR, or SFTR will be an advantage. The successful candidate for the role will have: 2-4 years of experience in a regulatory environment within the financial services industry. Previous experience is likely to have been within: a regulator, trade association or government department; or the compliance function of a bank, insurer or investment manager; or a similar role in a top accounting/legal/consulting firm. A solid understanding of key developments in capital markets regulation in the UK, Europe and internationally and of the regulatory rule-making process and political landscape. Strong interpersonal skills and confidence to liaise and build relationships with a variety of stakeholders. Strong analytical and problem solving skills as well as the ability to process large amounts of information and summarise it effectively. Excellent time and workload management skills, and the ability to work flexibly under pressure. Exceptional presentation and business writing skills, preferably with demonstrable experience in writing commercial thought leadership. The ability to take a flexible approach to tackle a wide range of tasks including: analytical research, assistance with client presentations and report writing.

Head of Paraplanning

Manchester

c.£50,000 + Benefits

Our client is a well-respected financial services organisation looking for a Head of Paraplanning to provide supervision of Paraplanning department and staff. The role- Maintain work logs and pro-actively manage workload to ensure deadlines are met Aid adherence with FCA and internal compliance procedures Assisting when required completing regulatory requirements and processes Preparing client reports, suitability letters and supporting research Preparing pension transfer analysis reports Analysis of investment portfolio composition and performance Handling technical client queries Research and preparation for client meetings Key Requirements- Level 4 Diploma qualified (or equivalent) Experience in Pensions Previous experience in a Paraplanning role

Compliance Executive – Private Equity (Contract)

London

£500 - £550 per day

A Private Equity, Government backed organisation are looking to recruit a specialist Compliance Executive to complement their existing team. The organisation is very active in investment opportunities in Africa and South East Asia specifically across emerging and frontier markets. The Role Their Compliance team plays an important role in reinforcing the firm’s reputation as a responsible investor and ensuring the they meet its regulatory commitments with respect to the FCA. The Compliance Executive will be focused on the effective management of regulatory compliance risk and the design, implementation and adherence to the compliance arrangements of the firm’s operations. This will be a fairly broad role covering some of the following: Handling FCA compliance matters arising from the firm’s operations including compiling any relevant regulatory returns and submitting these via the Gabriel system. Ensuring the effectiveness of current policies, procedures and controls by undertaking monitoring of selected areas in line with a compliance monitoring programme Assisting in the drafting and updating of firm and group wide policies and procedures and deliver compliance training to the business, to include the annual AML, ABC and Compliance training programmes. Keeping abreast of UK compliance requirements relevant to the firm’s operations as well as understanding the compliance obligations in the other countries in which the firm operates Developing the investment teams’ knowledge of compliance requirements by delivering tailored training and updates at team meetings. Assisting in the preparation of MI reports on compliance and regulatory issues for senior management ahead of board and senior management meetings. Key Requirements: Relevant knowledge of FCA compliance requirements for UK regulated financial institutions, particularly in relation to either private equity, or asset management sector 3-5 years’ experience in managing compliance issues in a UK regulated financial institution, with at least two years in private equity or asset management Financial Crime compliance experience (desirable but not essential) Ability to plan ahead and proactively address issues; Ability to manage and prioritise a busy and diverse workload with a range of deliverables for a variety of stakeholders; Confident and articulate, with excellent written and verbal communication skills; Highly motivated and results driven; University degree and preferably a postgraduate qualification in a relevant discipline. Good organisational skills and attention to detail.

Risk and Compliance Manager

Manchester

£50,000 - £55,000 + Benefits

Our client are a leading financial services’ business who are currently recruiting for a Risk and Compliance Manager. The role will be responsible for the management of the Risk and Compliance team working with the business to define and oversee the implementation of policies and procedures. The role: Manage the Risk and Compliance team to develop and maintain regulatory standards and policies for the business to provide a compliant framework for the business to operate within. Provision of technical advice and guidance to the Head of Risk and Compliance, Legal and Regulatory Director, senior management and all business areas within the business covering all elements of the FCA handbook Identify and evaluate the impact of regulatory change on the business, through analysis of consultations and policy statements issued by the FCA and other regulators Provide a compliance helpdesk service which acts as a subject matter expert for all compliance matters impacting on the day to day activities of advisers and support staff Plan and manage technical projects for the Legal and Regulatory function Ensure timely identification of regulatory requirements and guidance issued by the FCA, JMLSG and other appropriate legislative, regulatory, governmental or industry bodies and to provide prompt assessment of the impact on the Group’s processes, systems and controls Manage the implementation of the business’s approach to anti money laundering and counter terrorist financing Develop and implement the annual compliance monitoring plan strategy, activities, procedures and resources, ensuring that risk based monitoring activity is carried out within the business in accordance with the monitoring plan Assist the Head of Risk and Compliance with the rigorous investigation of any concerns or rule breaches referred to the Legal or Regulatory function or revealed by regulatory management information. Key Requirements: Strong knowledge of the FCA handbook, principles for business and the Financial Services & Markets Act 2000 Ideally Level 4 Diploma qualified (or working towards) Five years’ experience in a senior compliance role preferably within a multi distribution FCA environment, including regular contact with the FCA Strong knowledge and understanding of business risk assessment and management

Manager Prudential Regulatory Strategy

London

£45,000 - £55,000

I am working with a Big Four Consultancy within their successful and growing Regulatory Strategy Team. Responsibilities: Ensuring the ECRS maintains an overview of relevant developments in prudential initiatives in the UK and at EU and international levels, including through tracking new policy initiatives, identifying emerging topics and developing expertise in those topics; and developing relevant contacts with regulators, policymakers and industry; Leading the analysis and assessment of the strategic implications of new and emerging regulatory requirements; Driving forward thought leadership on the issues identified; Producing outputs including reports and presentations; Engaging with client-facing teams and directly with clients, in the UK and overseas, to leverage the analysis; Managing resources to deliver work to agreed deadlines; Ensuring the quality of outputs; and Contributing to cross-team initiatives. Qualifications/Requirements: We are looking for an individual whose experience includes working as a banking supervisor, a track record of producing analysis, and who has a natural intellectual curiosity. The successful candidate will further be able to demonstrate: A strong understanding of key regulatory and supervisory initiatives in prudential regulation, recent developments, and the process by which requirements are developed and set; An understanding of strategic challenges and trends in the banking sector and financial services industry more generally; The ability to develop hypothesis-driven analysis, and to provide considered views, interpretation and an assessment of the implications for the banking sector; The ability to track and quickly and efficiently review a large volume of information in order to identify and disseminate the key points in a clear and concise manner; Excellent time and workload management skills, and the ability to work flexibly under pressure; Exceptional presentation and business writing skills; The ability to independently drive and draft pieces of regulatory insight; High professional standards; The ability to take a flexible approach to tackle a wide range of tasks including: analytical research, client presentations and report writing, and hands-on involvement in the development of ECRS products; and Experience of managing or mentoring staff.

Enterprise Risk Manager

London

£70,000

I am working with a Big Four Consultancy firm looking to grow their Enterprise Risk Team. Working in an extremely diverse client base this is an exciting opportunity for someone to join this dynamic and successful team. Responsibilities: Working with some of the largest organisations in the world, across a variety of industries. Our client list includes eminent organisations in technology, mining, media, pharmaceuticals, oil and gas, public sector and charities. The work you perform will help you develop an understanding of: Different third party relationships an organisation may have across different industries; Drivers which affect behaviours of business partners, suppliers and customers; and Operational processes and controls required by an organisation to effectively monitor its third party relationships. You will gain exposure to many aspects of the project from understanding the client environment and relationship with the supplier to performing detailed data analysis to understand the areas of supplier non-compliance. A typical EERM engagement will involve you: Understanding the nature of the relationship between the client organisation and its extended enterprise, customer base or supply chain; Performing risk assessments of contract documentation; Undertaking detailed and comprehensive data analysis which allows us to quantify the financial and operational compliance with the contract; Acting in a robust manner, with integrity to identify the facts, agree findings with third parties and communicating important issues in a clear, succinct manner; Supporting the client and potentially the third party through discussions with relevant stakeholders; Writing reports detailing the financial and operational issues highlighted during our work; and Providing timely and useful feedback that can enhance future relationships and activities, both at our clients and the third parties they interact with. Working with EERM provides a mixture of working in the office, client sites and visiting third parties’ premises, which provides variety and a well-rounded mix of work environments. There is potential that EERM can offer you the chance to work overseas for short periods, in such exotic locations as Ecuador, Brazil, Canada, India, Indonesia, Iraq, Kuwait, Singapore, Russia, China, and sometimes we go to Europe as well! The EERM team value a healthy work-life balance, and provide ample opportunity to socialise with other members of the team across grades. Social events are democratically selected and are well attended. Requirements: Our EERM Professionals work in both small and large teams for all projects and therefore it is absolutely vital that applicants are able to be strong team players. It is also essential to have good communication skills, as well as a confident and professional demeanour when dealing with clients and colleagues. Applicants need the ability to adopt a pragmatic approach to dealing with situations where confidentiality is important or where our work is of a sensitive nature. Helping maintain our client’s good relationships is integral to our business. Successful applicants will have the ability to learn fast and deliver quality work under pressure. They will produce key client work upon joining the firm. Candidates should have an agile and analytical mind and enjoy problem solving. Therefore applicants must be highly organised, with the ability to review their own work critically. Successful applicants will have the ability to learn fast and deliver quality work under pressure. They will produce key client work upon joining the firm. Candidates should have an agile and analytical mind and enjoy problem solving. Therefore applicants must be highly organised, with the ability to review their own work critically. The candidate will have a deep understanding of third party risk management processes and controls, ideally gained through working for, or working with, complex, global organisations which work with a range of third parties operating in high risk environments (e.g. high anti bribery and corruption risk). The candidate will also have experience of being able to provide advice on procurement best practices, including category management planning, supplier risk assessment, supplier selection, contracting and on-going supplier risk management. The candidate will also have experience of managing third party compliance programs including multiple projects with management of a team to deliver those projects. Applicants do not need to have existing technical excellence with Microsoft Office, but when they join the firm they will benefit from showing they can learn fast and reach a strong level of expertise when they receive training. Therefore a good grounding in excel and basic functions would be a benefit to applicants.

Risk Management and Controls Analyst

London

£55,000

An opportunity has arisen within a leading Asset Manager for a Risk Analyst to assist the risk management team in the fulfilment of their second line of defence obligations to ensure that market and credit risks are controlled by the business. Job Description: Support the production and development of fund monitoring and valuation systems/processes. Carry out research on market data in order to understand risk and pricing drivers. Support the production and development of portfolio risk reporting including the development of new ideas to improve risk oversight. To support the Risk Analysis team in the completion of its assignments and investigations with particular focus on new product and strategies. Bespoke requests as directed by the senior analysts or other teams across the business Production and development of Value at Risk and stress testing reports Provision of valuations for the firms OTC and private asset books. Production and development of risk reports of derivative based products/funds limits and exposures. To support the Risk Management team in the completion of its assignments and investigations. To undertake other ad hoc projects as required. What we are looking for: Relevant experience gained within a Financial Institution, Investment Bank or Asset Management. Strong understanding of financial markets Experience in performing risk analysis and a solid understanding of OTC Derivatives and collateralised credit exposure. A self-starter with the ability for forge relationships with the business stakeholders and have excellent analytical abilities, Strong written and verbal communication skills. It is ideal for you to have a Bachelor’s degree in accounting, finance or economics.

Head of Modelling

London

£70,000 - £75,000

My client is a top Asset Manager based in London. They are searching for a Head of Modelling to report into the Global Head Global Head of Investment Risk. The role consists of evaluating, recommending changes and documenting all such models, and assisting in putting in controls for ongoing validation of model outputs. The individual will be an active participant in risk technology projects, derivative pricing projects, and will be a regular member of the OTC Pricing Committee. The individual will report directly to the Global Head of Investment Risk. In fulfilling these tasks, the individual will have both an in depth understanding of a wide range of asset classes and risk modelling techniques, together with the ability to converse clearly in such matters. Types of knowledge required: In-depth knowledge of best practise pricing models for: Interest Rate derivatives Inflation Derivatives Options (Credit, Equity, Interest Rate & FX) Bonds, including callable bonds Structured Credit & CDS Interest Rate and Credit curve construction & bootstrapping techniques Value at Risk techniques Equity Factor Modelling Performance Attribution (multi-asset) Types of skills: Working knowledge of MSCI Barra & Risk Manager C#, Python and SQL programming Stochastic calculus and option pricing Finite difference and Monte Carlo pricing methods Relational databases and queries Bloomberg API, Excel, VBA Highly numerate degree, Ph.D preferable

Prudential Capital Manager/AM

London

£45,000 - £75,000

My Client is a Big 4 Consultancy currently growing it’s Prudential Risk team. Working closely with senior Directors and Partners on projects in World Leading Financial Institutions and Banks. Responsibilities: Advising clients on the impact of the changing regulatory landscapes on their business models and supporting them through that change. Providing regulatory capital and related prudential subject-matter expertise on engagements run by others, in particular to Banking Authorisation projects. Managing and delivering engagements (which might include multi-disciplinary engagements), which would typically include gap analysis, transformational support, remediation, training and authorisation assistance. Developing and maintaining strong relationships with clients and building an external network. Developing and maintaining strong relationships with colleagues and building an internal network. Active mentoring, coaching and development of colleagues. Playing a role in business development for the Regulatory Team and wider business, which might include building of propositions and taking these to market as well as identifying opportunities for on-sell from existing client engagements. Playing a role in research, insight development and knowledge management. The delivery of all client work/internal projects to a high standard. The Person Qualifications and Skills: Knowledge of the PRA’s approach to regulatory capital management, capital reporting and related prudential issues. Knowledge of the PRA’s and the FCA’s Supervisory Frameworks. Regulatory/operational experience of the FCA’s and/or PRA’s requirements covering corporate governance, assurance frameworks, organisational systems/controls and key customer interfaces. The ability to be flexible and work across a number of sectors within the financial services industry. Industry recognised qualification (e.g. CISI, CFA etc.) desirable but not essential. Effective oral and written communicator (the role will involve report writing). Planning and project management skills. Issue identification and problem-solving skills. Proven ability to achieve results, even when faced with obstacles or setbacks. Positive and flexible attitude to work and a willingness to embrace new initiatives. Networking, influencing and stakeholder management. Confident and highly motivated individual. Flexibility to work across the UK (and internationally) where required. Experience and Knowledge: Substantial relevant banking sector experience Experience of prudential regulation, ICAAP preparation, capital regulation and reporting. Experience of working in a professional services firm or in a regulatory environment (eg a regulated firms' compliance department or PRA/FCA). Demonstrable record of project management. Demonstrable record of issue identification and problem solving. Demonstrable record of delivering high-quality outputs on time/within budget. Demonstrable record of balancing commercial and compliance considerations desirable but not essential.

Head of Credit Risk

Watford

£120,000

My client is a leading Financial Services firm based in Watford. They are looking for a Head of Credit Risk to be responsible for the risk management of the lending portfolio and the policies, processes and procedures associated with our lending activity. Role Outline Continued development of our Credit Risk function has reinforced the need for the next generation Head of Credit Risk, who will continue to develop the organisation’s analytical and modelling capabilities, whilst protecting and improving asset quality. The successful candidate must have the ability to develop, communicate and implement commercial credit strategies which optimise the trade-off between revenue, margin gain and impairment whilst delivering positive customer outcomes. Candidate must: Have in-depth knowledge of best practice in credit risk management techniques in a sub-prime or near prime environment. Demonstrate success as a change agent in securing buy in to risk management strategic and tactical initiatives and policies. Have strong interpersonal skills that are commercially orientated with the ability to build key relationships at an enterprise and operational level. Be a self-starter who can make an early contribution which can then be sustained. Bring leadership qualities to the role and apply them within the business in meeting its core objectives. Provide innovative solutions that will help the business and function grow and develop. Duties and Responsibilities Develop and implement application, behavioral and loss forecasting statistical models that ensure the core financial and lending objectives of the organisation are met short and medium term. Develop commercial lending policies and strategies that optimise the revenue/debt trade off whilst delivering positive customer outcomes. Provide insight and regular reporting that underpins and protects scorecard and portfolio performance. Define and gain approval for appropriate revenue and capital budgets to ensure performance is subject to continuous improvement. Represent the company in credit risk related matters and secure and protect external relationships. Be aware of and follow the organisation’s security policy and practices, implement a clear desk policy, report incidents, and keep passwords secret. Skills & Experience: Proven skills and track record in credit risk management in a sub or near prime environment, preferably with a significant e-commerce component. Strong analytical skills – ability to interpret data and translate into insight and intelligence. Strong interpersonal skills – ability to sell and secure buy in and trust through periods of change at all management levels. Involved in major application and behavioral scoring and loss forecasting developments in consumer retail environments – with proven benefits. High energy, self-starter with strong leadership skills. Strong technical knowledge of decision support systems, modelling techniques and data management Degree level education in a numerate discipline.

Senior Manager (CASS)

London

N/A

The Client: A leading consultancy firm Roles and Responsibilities: - Delivery of client engagements, including both audits and non-audits, leading small sized teams and providing input to larger, multi-disciplinary teams. - Managing partner involvement on engagements, providing progress reports as required. - Acting as the primary contact for clients. - Delivering Section 166 reviews and reporting to the FCA as part of a wider team. - Providing clients with assurance over their arrangements for producing, validating and submitting monthly regulatory returns in respect of client assets. - Advising and assisting clients with implementation of systems and processes to comply with both current and potential changes to the CASS rules. - Advising clients on CASS issues and providing assurance over existing processes. - Advising client on the development, implementation and/or effectiveness of client asset governance structures. - Development and delivery of client asset based training programmes for clients and internally - Provision of technical support and advice internally in respect of CASS audits. - Taking a leading role in the identification of business development opportunities and the preparation of client proposals in order to assist in meeting overall departmental sales targets. - Mentoring and coaching other less experienced team members, including acting as a formal performance manager to help junior staff fulfil their potential. - Building the reputation of the firm through the quality of work, knowledge and experience relevant to the industry. Qualifications and Skills: - Strong understanding of businesses, structures, governance frameworks and process & control infrastructures of firms in the investment management sector. - Excellent stakeholder and relationship management skills and ability to develop and maintain strong internal and external network of contacts. - Strong leadership skills and ability to manage a team of professional staff. - Strong background in regulation with deep technical skills in capital, liquidity or conduct of business areas and an appetite to learn more. Experience and Background: - Educated to degree level or equivalent. - Professional qualification preferred, with strong knowledge of regulatory rules and guidance but crucially the practical application within the investment management sector. - Project management skills, demonstrated by a record of regulatory project delivery. - The ability to evaluate technical issues, analyse facts, consult and deliver solutions to clients. - Excellent communication and presentation skills; including an ability to communicate well with clients in writing and verbally. - Relevant financial services experience with a regulatory focus, either as part of a financial services firm, advisory capacity or FCA. - Understanding of regulatory developments and key current issues facing clients.

Senior Manager (CASS)

London

£70,000 - £80,000

The Client: A leading consultancy firm Roles and Responsibilities: - Delivery of client engagements, leading small sized teams and providing input to larger, multi-disciplinary teams. - Delivering Section 166 reviews and reporting to the FCA as part of a wider team. - Providing clients with assurance over their arrangements for producing, validating and submitting monthly regulatory returns in respect of client assets. - Advising and assisting clients with implementation of systems and processes to comply with both current and potential changes to the client asset rules. - Advising clients on CASS issues and providing assurance over existing processes. - Advising client on the development, implementation and/or effectiveness of client asset governance structures. - Development and delivery of client asset based training programmes for clients and internally at the business - Provision of technical support and advice internally to teams in respect of the client asset audits. - Taking a leading role in the identification of business development opportunities and the preparation of client proposals in order to assist in meeting overall departmental sales targets. Qualifications and Skills: - Strong understanding of businesses, structures, governance frameworks and process & control infrastructures of firms in the banking sector. - Excellent stakeholder and relationship management skills and ability to develop and maintain strong internal and external network of contacts. - Strong leadership skills and ability to manage a team of professional staff. - Strong background in regulation with deep technical skills in capital, liquidity or conduct of business areas and an appetite to learn more. Experience and Background: - Educated to degree level or equivalent. - Professional qualification preferred, with strong knowledge of regulatory rules and guidance but crucially the practical application within the banking industry. - Project management skills, demonstrated by a record of regulatory project delivery. - The ability to evaluate technical issues, analyse facts, consult and deliver solutions to clients. - Excellent communication and presentation skills; including an ability to communicate well with clients in writing and verbally. - Relevant financial services experience with a regulatory focus, either as part of a financial services firm, advisory capacity or FCA. - Understanding of regulatory developments and key current issues facing clients.

Senior Audit Manager

London

£55,000 - £65,000

The Client: A leading consulting firm The role: As a Senior Manager, you’ll be involved in all aspects of delivering audit engagements, from planning through to completion on a broad spectrum of clients. The role will include executive level client interaction and exposure to multiple clients on an annual basis, as well as daily tasks such as: - Supervising, mentoring, and coaching audit staff - Managing partner involvement on audits, providing progress reports as required - Acting as the initial point of contact throughout the year for your clients; manage timetables, anticipate costs, raise fees and agree dates for cash collection - Regularly and proactively communicating with senior clients on relevant industry matters - Keeping up to date with the firm’s product and service offerings and identifying the sales opportunities that will help grow the business - Establishing and maintaining strong internal and external networks within the industry - Communicating with clients and subject matter experts on technical matters relevant to the audits - Actively driving the planning of the audit, as well as the actual fieldwork at interim and final, statutory audit and completion work - Working on tenders and working as part of the relevant independence team - Being the performance manager for other qualified accountants Key Requirements: - ACA, ACCA or CPA qualified (or international equivalent) - Must demonstrate gravitas and impact to earn trust and respect amongst senior leadership and the team - Established strong leadership skills and proven ability to provide clear directions and constructive feedback - IT literacy with good knowledge of Word / Excel / PowerPoint - Strong communication and inter-personal skills, both verbal and written - Sound working knowledge of IFRS and UK GAAP. Experience with US GAAP is preferable though not essential - Significant financial statement audit experience, ideally within professional services - Extensive external audit experience - Proven ability to identify and pursue business opportunities whilst maintaining a solution mind-set - Commitment to building the reputation of the firm through the quality of work, knowledge and experience relevant to the industry

Manager/AD Business Modelling Group

London

£45,000 - £75,000

I have taken on a Business Modelling Manager position working for a Big 4 Consultancy based in London or Birmingham. Reporting into the partner you will learn the expertise, tools, methodologies and practical experience to help generate confidence in helping Clients make the most testing decisions. As a Manager/Assistant Director, you’ll provide advice and support on all aspects of business modelling and analysis on these types of project and more to enable better decision making. Responsibilities: As a Manager you will have the opportunity to be involved in a wide range of transactions/projects where you will: Take a lead role in supporting clients throughout decision making processes, using outstanding technical and commercial skills on transactional and strategic mandates Take responsibility for delivering engagements – being primary client relationship holder Possibly be seconded to a client to work directly within their business and report to a senior member of the client's team Work to tight deadlines, adding value on complex, high profile and sensitive projects Take an active role in business development initiatives which could include being closely aligned to industry or sector groups Be expected to be innovative in developing client solutions and also in driving the team’s strategy forwards. To have a broader perspective of potential issues encountered when managing diverse teams and the strategies to overcome them; have a clear understanding of the firm’s commitment to creating a more inclusive culture Qualifications: To qualify for the role you must: Have a proven track record delivering top quality modelling solutions within a project based, client focused environment Experience of building, maintaining and effectively managing client relationships Leadership skills enabling you to become a “partner of tomorrow” Have strong academic achievements including excellent degree and A-level (or equivalent) results Have strong business diagnostic skills and the ability to apply a logical and analytical approach to problem solving Have excellent communication skills (both written and verbal) Have strong excel skills - other relevant technical analytical skills could also be an advantage e.g. VBA, Access, SQL etc ACA Exam qualified (or equivalent), ideally with first time passes, or be able to demonstrate equivalent experience

Stress Testing - Advisor

London

£45,000

My client is looking for a highly numerate junior to join their growing stress testing team. Advising clients on the impact of changing requirements in stress testing and helping clients validate or develop stress testing models. You will be conducting technical analysis and report writing for workstreams operating under stress testing engagements. You will also be required to apply yourself to a broad range of banking risk related issues supporting both regional and national propositions. The Person Qualifications & Skills: Demonstrable skills covering the stress testing process, execution and requirements. Working knowledge of a range of stress testing and prudential processes, such as ICAAP, internal stress tests and reverse stress tests. Ability to clearly communicate stress testing requirements and findings in a range of ways, including presentations and written reports. Awareness of stress test modelling concepts and the analytical skills necessary to understand and help develop/validate stress testing models. Excellent Excel skills. Knowledge of programming languages (e.g. VBA, Python, etc.) is also of benefit. Flexibility and agility to contribute to a broad range of banking risk engagements. Excellent communication, planning, project management, networking and influencing skills. Flexibility to work across the UK (and internationally) where required. Experience and Knowledge: Relevant background experience in stress testing, covering the end-to-end process, execution and requirements for best-practice. Awareness of recent stress test results across UK banks subject to stress testing requirements. Knowledge of and experience in Expected Credit Loss accounting standards (IFRS 9) will be beneficial. Experience in modelling techniques, particularly for stress testing, is also of benefit.

M&A Assistant Director (Healthcare & Life Sciences)

London

£85,000 – £95,000

The Client: My client is a leading professional services firm; they are recognised for their commitment to delivering an outstanding quality of client service, and enabling people to excel in everything they do. The role: The Corporate Finance Advisory (M&A) team provides corporates, private equity houses and other clients with a full suite of M&A services advising on acquisitions, divestments, joint ventures, buy-outs and licensing, a significant number of which are cross-border or international in nature. The team' expertise extends across the full range of sub-sectors including: Healthcare Services, Pharmaceuticals, Medical Devices and Technology. The team has enjoyed significant success and is seeking to expand with the recruitment of highly driven and motivated individuals at Assistant Director/experienced manager level. Responsibilities: The role will have responsibility for: Working across the Healthcare and Life Science sectors on a range of buy-side and sell sidetransactions Assisting with day to day management of transactions which includes preparation of information memoranda, management presentations, valuation analysis and taking responsibility for preparation of information and client communications Industry research for both deal origination and transaction analysis Valuation work and Financial modelling Contribution to marketing and business development opportunities To have a broader perspective of potential issues encountered when managing diverse teams and the strategies to overcome them; have a clear understanding of the firm's commitment to creating a more inclusive culture Requirements To qualify for the role you must have: ACA (or equivalent) qualification (not essential depending on other experience) Ideally some transactional experience gained on client engagements or on secondment Excellent numeracy skills with keen attention to detail and the ability to absorb and analyse large amounts of data quickly Client focus, with ability to work quickly and establish effective working relationships Enthusiasm for and ideally previous exposure to the Healthcare or Life Science sectors Excellent oral and written communication skills Logical and methodical approach to problem solving Project management and organisational skills Ability to undertake detailed financial/commercial analysis for inclusion in client reports The self-confidence/appetite to be involved in business development activities Ability to develop, coach and motivate junior members of the team

Asset Management Risk Officer

London

£90,000

My client is a big four consultancy searching for A Risk & Capital Management Manager to work closely with Directors and Partners to deliver risk and capital management engagements to investment management clients. Areas of focus include: ICAAP Risk management frameworks Articulation of risk appetite Risk registers Risk and control self-assessments (RCSA) Risk monitoring. The role also includes opportunities to deliver client presentations, contribute to thought leadership, work on business development, assist with project management and coach members of the team. Responsibilities: The successful candidate will have the opportunity to: Deliver high quality risk and capital management engagements to top-tier investment management firms. Know and apply risk and capital management rules and guidance for clients, based on a good understanding of investment management risks. Be seen internally and externally as a technical specialist, providing ongoing support and technical assistance to colleagues and clients, building long-term beneficial relationships. Maintain up-to-date knowledge in areas of specialism and industry trends. Prepare and deliver presentations and seminars on risk and capital management to clients and internally. Assist with the ‘Financial Reporting by Investment Managers’ publication in respect of the ICAAP, including: drafting of survey questions; analysis of responses; identification of trends; report writing; and participating in client meetings to share findings from the publication. Build and maintain a strong network of relationships, for example internally with other risk and capital management specialists in banking and insurance. Take on junior engagement management responsibilities, specifically: internal client and engagement risk management procedures; budgeting; and project management. Example Projects Below are some example projects that we have worked on: Established a risk management framework and risk register for the asset management division of a global investment bank Designed a corporate governance structure and risk management framework for a European financial institution across banking, insurance and investment management Assisted a global investment manager with addressing issues highlighted by the FCA, including helping design and implement a revised ICAAP About You You will have working knowledge of the financial services industry, in particular the investment management sector (including wealth management). You will have experience of working at a consultant, regulator or investment management firm, focussing on operational risk. You will have gained a good knowledge of operational risk management frameworks and practices in investment management and other financial sectors. You will also understand the expectations of the FCA and how this impacts investment management and other financial services firms. You will have had experience with ICAAPs and have a good understanding of CRD IV. You will be able to adapt quickly in a fast-paced environment, taking on new challenges, grasping new technical concepts rapidly, whilst delivering work to a high standard of quality and demonstrating strong attention to detail. You will have some experience managing and mentoring more junior members of staff.

Executive Advisor - Market Risk Quant (FRTB)

London

£55,000 - £85,000

My client is a top four consultancy currently searching for a Quantitative Risk professional with extensive FRTB experience. The Role Responsibilities: Advising and assisting clients with the impact of the changing capital requirements framework (‘Basel 4’), with particular focus on the new market risk requirements and quantitative modelling. The individuals will be expected to participate in and lead individual work streams within both market risk and wider risk and capital related engagements. As a member of the banking segment, the individual will also be required to apply their skills to a broad range of banking related issues supporting both UK and Global propositions. The expectation is that the roles will grow over time to provide a balance of quantitative and broader advisory and client facing responsibilities. The Person Qualifications & Skills: • Strong knowledge and understanding of market risk frameworks and processes including risk management, product control, capital calculations and product valuations. • Proven ability to effectively deliver market risk engagements • Detailed working knowledge of FRTB and an understanding of its implications is advantageous. • Knowledge and practical experience of all aspects of model development and validation. • Strong analytical skills and practical quantitative experience. • Ability to communicate and challenge senior management on range of market risk topics. • Ability to explain complex technical terms/impacts to a senior non-technical audience. • Flexibility and agility to contribute to a broad range of banking risk engagements. • Excellent oral / written communication, planning, project management, networking and influencing skills. • Flexibility to work across the UK (and internationally) where required. Experience & Background: • Extensive Quantitative experience • Detailed product/industry knowledge • Strong understanding of regulatory reforms impacting financial institutions (specifically, FRTB)

Head of Internal Audit

Berkshire

£80,000 – 90,000

Our client is an award winning banking and financial services business going through a period of rapid growth and change. Group Internal Audit plays a key role in ensuring that the governance and internal control environment keeps pace and as a result they require a Head of Audit. The Role The role involves managing the audit team and leading the delivery of the audit plan. You’ll execute the strategies as set for Group Internal Audit. That will also include supporting risk assessments that ensure audit activity is aligned to the assurance needs of the organisation. Overall, you’ll focus on ensuring best practice, building a culture of high performance, developing and optimising the team and championing Audit as an objective, independent and vital business partner. The Person Ideally you will be a graduate with relevant qualifications, as well as extensive experience of leading internal audit teams in a similarly dynamic financial services or banking environment. From your experience, you’ll have in-depth knowledge of audit methodologies and data analytics capability, as well as current working knowledge of UK regulation and PRA/FCA areas of regulatory focus. Experience of auditing risks across retail banking products is essential. Strong leadership capabilities are key to optimising the performance of the team and building credibility across the organisation. The business commits to investing in your ongoing professional development and this is a very exciting opportunity for someone keen to join a dynamic, growing organisation.

M&A Assistant Director (Technology, Media & Telecoms)

London

£85,000 – £95,000

The Client: My client is a leading professional services firm; they are recognised for their commitment to delivering an outstanding quality of client service, and enabling people to excel in everything they do. The role: The Corporate Finance Advisory (M&A) team provides corporates, private equity houses and other clients with a full suite of M&A services advising on acquisitions, divestments, joint ventures, buy-outs and licensing, a significant number of which are cross-border or international in nature. Responsibilities Working across the TMT sectors on a range of buy-side and sell-side transactions Assisting with day to day management of transactions which includes preparation of information memoranda, management presentations, valuation analysis and taking responsibility for preparation of information and client communications Industry research for both deal origination and transaction analysis Valuation work and Financial modelling, including DCF and LBO analysis Contribution to marketing and business development opportunities Requirements To qualify for the role you must have: ACA/CFA (or equivalent) qualification (not essential depending on other experience) Ideally some transactional experience gained on client engagements or on secondment Excellent numeracy skills with keen attention to detail and the ability to absorb and analyse large amounts of data quickly Client focus, with ability to work quickly and establish effective working relationships Enthusiasm for and ideally previous exposure to the TMT sectors Excellent oral and written communication skills Logical and methodical approach to problem solving Project management and organisational skills Ability to undertake detailed financial/commercial analysis for inclusion in client reports The self-confidence/appetite to be involved in business development activities Ability to develop, coach and motivate junior members of the team

Senior International Audit Manager

London

£60,000 – 80,000

As a Senior Manager within the Audit and Assurance practice you will have responsibility for: Managing key audit and assurance relationships across a variety of industry sectors; Identifying and developing both audit and assurance opportunities with new and existing senior clients; Leading audit and assurance teams and developing managers and junior team members to reach their potential; Ensuring all regulatory changes are implemented and complied with both internally and on client engagements; Building relationships with other departments to deliver market and client focused business solutions; Having a broader perspective of potential issues encountered when managing diverse teams and the strategies to overcome them including having a clear understanding of the firm’s commitment to creating a more inclusive culture; Managing diverse teams within an inclusive team culture where people are recognised for their contribution Requirements: To qualify for the role you must have: ACA/ACCA qualification (or equivalent); Thorough knowledge of UK GAAP and IFRS; PCAOB experience is desirable, but not essential; Strong understanding of financial reporting and controls; A proven track record in establishing and maintaining excellent relationships with senior clients; Strong leadership skills both on engagements and in an office environment; An ability to play an active role in the business development process, winning tenders and large audit and assurance proposals; Experience of motivating and developing teams; An ability to implement solutions to address changes in regulatory requirements; Industry, FTSE Listed or International audit and assurance experience; The ability to work under own initiative and in many different and stimulating environments; Knowledge of US GAAP reporting; Significant presentation and business writing experience;

Advisor - Credit Modeller (IFRS9)

London

£40,000-£50,000

My client is a top four consultancy currently searching for a Credit Modeller with extensive IFRS 9 experience. The Role: Advising clients on the impact of changing requirements in provision accounting standards (IFRS9) and helping clients validate or build credit risk measurement models. The individual will also be expected to technical analysis for workstreams within both IFRS9 and credit risk modelling engagements. The individual will also be required to apply their skills to a broad range of banking risk related issues supporting both regional and national propositions. The Person: Qualifications & Skills: Experience in credit risk modelling techniques. Knowledge and practical experience in accounting and risk requirements as related to IFRS9. Detailed working knowledge and experience of all aspects of model development and validation including the following: Data extraction and pre-processing Modular model development User acceptance testing Model performance assessments Ability to communicate risk/finance requirements of IFRS9 to the reciprocal function, i.e. risk to finance and finance to risk. Flexibility and agility to contribute in a senior capacity to a broad range of banking risk engagements. Excellent oral / written communication, planning, project management, networking and influencing skills Flexibility to work across the UK (and internationally) where required Experience and Background: Ability to understand and execute programming code including VBA, SAS, MatLab, C++ etc Relevant Sectoral experience – Developing Retail/ Wholesale banking PD/EAD/LGD models

Executive Advisor - Credit Modeller (IFRS9)

London

N/A

Job Description: My client is a top four consultancy currently searching for a Credit Modeller with extensive IFRS 9 experience. The Role: Responsibilities: Advising clients on the impact of changing requirements in provision accounting standards (IFRS9) and helping clients validate or build credit risk measurement models. The individual will also be expected to lead the individual workstreams within both IFRS9 and credit risk modelling engagements. The individual will also be required to apply their skills to a broad range of banking risk related issues supporting both regional and national propositions. The Person: Qualifications & Skills: Detailed knowledge and experience in delivering of IFRS9 and credit risk modelling engagements. Knowledge and practical experience in accounting and risk requirements as related to IFRS9. Detailed working knowledge and experience of all aspects of model development and validation including the following: Methodology design Data extraction and pre-processing Modular model development User acceptance testing Model performance assessments Model validation In addition the candidate should be experienced in explaining complex technical terms or impacts to a senior non-technical audience. Ability to communicate risk/finance requirements of IFRS9 to the reciprocal function, i.e. risk to finance and finance to risk. Flexibility and agility to contribute in a senior capacity to a broad range of banking risk engagements. Excellent oral / written communication, planning, project management, networking and influencing skills Flexibility to work across the UK (and internationally) where required Experience & Background: Ability to understand and execute programming code including VBA, SAS, MatLab, C++ etc Relevant Sectoral experience – Developing Retail/ Wholesale banking PD/EAD/LGD models

Market Risk FRTB

London

£85,000

Client: Set up, manage and run client engagements ensuring all Risk Management process and procedure is adhered to and project risks and issues are properly identified, managed and escalated . On large scale engagements this may be a supporting role Act as project or work stream lead responsible for shaping the approach to projects, developing work plans, driving execution and delivery of milestones ensuring the right resources are engaged and reporting status against plan Providing subject matter expertise on the operational implications of regulatory and accounting change; Supporting the design / build / implementation of Target Operating Models; Creating and delivering high level presentations, written reports and undertaking analytical exercise; Building and maintaining client relationships. Interacting with current and target clients. Practice: Developing and assisting in the responses to client Requests for Proposals (‘RFP’); Supporting the design and development of thought leadership papers and new methodologies; Contributing to Financial Management knowledge and business development initiatives. People: Performance managing and mentoring team members; Working with integrity and honesty; Being an active role model for junior colleagues. Supplementary responsibilities: Actively seeking new client opportunities and presenting at client pitches. The Person Core / Necessary skills & experience: Strong Banking industry experience, achieved through Line or change roles or consulting within a large Bank. Banking experience may be Retail or Capital Market focused or combination of both as drivers of change in the market place are impacting all Banking business models Excellent understanding of Financial Services business model for banking, broking and trading entities, including products and channels, trade life cycle and front to back business process Proven track record of successful project implementation with strong Project management toolkit including Status reporting, RAID management Business Requirements, Data Sourcing Analysis Accountancy qualification with minimum 3 years post qualified experience or other relevant professional qualification Strong people manager with ability to manage teams effectively and also act as insightful performance manager Good communicator at all levels with clear thinking and articulation Strong analytical, numerical and Microsoft Office skills; Flexible to travel. Additional skills and experience: Finance and Risk function target operating model and framework design and implementation experience Worked on Finance and Risk transformation programs is desirable, in particular FRTB, Basel 4, MiFID 2, IFRS 9 is desirable Good understanding of regulatory landscape impacting Banking sector Banking product knowledge and experience of front to back trade flows, business process and controls Broad understanding of regulatory capital requirements for banks(IB/Retail) Impairment process experience desirable Knowledge of finance and risk data and software systems

Market Risk Analyst (FRTB)

London

£45,000 - £60,000

I have been engaged by a Big 4 Consultancy to search for a Market Risk FRTB Analyst at all levels. The main role will be advising and assisting clients with the impact of the changing capital requirements framework (‘Basel 4’), with particular focus on the new market risk requirements and quantitative modelling. The individuals will be expected to participate in and lead individual work streams within both market risk and wider risk and capital related engagements. As a member of the banking segment, the individual will also be required to apply their skills to a broad range of banking related issues supporting both UK and Global propositions. The expectation is that the roles will grow over time to provide a balance of quantitative and broader advisory and client facing responsibilities. Qualifications & Skills: Strong knowledge and understanding of market risk frameworks and processes including risk management, product control, capital calculations and product valuations. Proven ability to effectively deliver market risk engagements Detailed working knowledge of FRTB and an understanding of its implications is advantageous. Knowledge and practical experience of all aspects of model development and validation. Strong analytical skills and practical quantitative experience. Ability to communicate and challenge senior management on range of market risk topics. Ability to explain complex technical terms/impacts to a senior non-technical audience. Flexibility and agility to contribute to a broad range of banking risk engagements. Excellent oral / written communication, planning, project management, networking and influencing skills. Flexibility to work across the UK (and internationally) where required. Experience and Background: Extensive Quantitative experience Detailed product/industry knowledge Strong understanding of regulatory reforms impacting financial institutions (specifically, FRTB)

Healthcare Economics Director

London

£120,000 - £150,000

The Client: My client is a leading professional services firm; they are recognised for their commitment to delivering an outstanding quality of client service, and enabling people to excel in everything they do. The Healthcare & Life Sciences Economics team sits within the firm’s Financial Advisory business and brings together economists, econometricians and analysts to apply their combined skills to solve healthcare business issues. The work is varied and delivers real value through areas such as regulatory or competition economics, cost & benefits analysis, pricing and profitability analysis, forecasting and predictive analytics. The technical skills in these areas are combined with the firm’s deep clinical, operational, financial, strategic and industry understanding to create a potent, and unique, package that can be applied across the spectrum of healthcare advisory services. The business is looking for a senior individual to lead and grow their established Healthcare Economics business. The successful individual will be well known and regarded in the Healthcare sector for providing economic advice on how to design better functioning and more efficient healthcare systems. They will have worked within a similar economic consultancy practice, or have equivalent experience gained in the public sector healthcare or pharma industries. A knowledge of the UK healthcare system is essential and experience of advising clients in an International setting would be beneficial. The role: Responsibilities: The role will include the following: Developing the strategy for the healthcare & life sciences economics business Identify and deliver new opportunities in the healthcare & life sciences sector Maintain and build on internal relationships across the health account (including broader financial advisory, strategy and risk advisory etc.) Further develop a network of client contacts within the sector Lead client engagements, including running teams of consultants Developing the strategy and thinking on client engagements Manage client relationships at a senior level Leading thought leadership for the team Leading and developing the team A wide range of types of engagements in the UK and internationally Professional experience: To qualify, you will be able to demonstrate: A degree in economics or related subject from a leading university 6-10 years of work experience (or equivalent) in a consultancy, governmental organisation or corporate, primarily in the healthcare & life sciences sector and preferably in a strategy or analytics role • Proven modelling and analytical skills, experience in regulation and regulatory policy Understanding of econometrics • Experience in delivering healthcare & life sciences projects • Strong project management experience • Good presentation and writing skills • Demonstrable understanding of healthcare networks and associated regulatory issues • Strong project and team leadership track record

Head of Compliance – Private Bank

London

£120,000-£150,000 basic salary + package

Our client is a long established and highly regarded UK Private Bank and an exceptional opportunity exists for an individual to formulate, execute and document the Company’s Compliance strategy, manage and lead the compliance team, provide appropriate assurance to the Board and Management as to compliance with appropriate regulation and legislation. The role is a Senior Manager under the SMCR, and you are subject to both the PRA / FCA Individual, and Senior Manager Conduct rules. The Role To formulate and document the Company’s compliance strategy based on government legislation and the regulators rules and guidance on best practice. To develop and implement appropriate controls and monitoring in the context of the business model to ensure that the firms meets its statutory and regulatory obligations As Data Protection Officer, to take the lead in providing expert advice and the promotion of data protection compliance and best practice in setting and maintaining standards and procedures across the firm. To work with all areas of the business to embed the culture of good compliance practice and in particular treating customers fairly. Ensure the timely provision of reporting and management information Responsibility for the Compliance Advisory and Monitoring teams (different locations) Provide assurance to the Executive Committee that the team is able to produce and deliver effective plans and programmes in relation to all compliance areas Attendance at the Board Risk, Compliance and Legal Committee Key Requirements You will have operated as Head of Compliance ideally in a Private Banking or Wealth management environment Strong familiarity with the regulatory environment, particularly PRA/FCA Excellent people management skills. Ability to motivate/inspire the team and its members to perform and add value to the broader business Confident and comfortable communicating with teams and individuals across all hierarchical levels Strong commercial focus

Compliance Executive – Private Equity (Contract)

London

£500 - £550 per day

A Private Equity, Government backed organisation are looking to recruit a specialist Compliance Executive to complement their existing team. The organisation is very active in investment opportunities in Africa and South East Asia specifically across emerging and frontier markets. The Role: Their Compliance team plays an important role in reinforcing the firm’s reputation as a responsible investor and ensuring the they meet its regulatory commitments with respect to the FCA. The Compliance Executive will be focused on the effective management of regulatory compliance risk and the design, implementation and adherence to the compliance arrangements of the firm’s operations. This will be a fairly broad role covering some of the following: Handling FCA compliance matters arising from the firm’s operations including compiling any relevant regulatory returns and submitting these via the Gabriel system. Ensuring the effectiveness of current policies, procedures and controls by undertaking monitoring of selected areas in line with a compliance monitoring programme Assisting in the drafting and updating of firm and group wide policies and procedures and deliver compliance training to the business, to include the annual AML, ABC and Compliance training programmes. Keeping abreast of UK compliance requirements relevant to the firm’s operations as well as understanding the compliance obligations in the other countries in which the firm operates Developing the investment teams’ knowledge of compliance requirements by delivering tailored training and updates at team meetings. Assisting in the preparation of MI reports on compliance and regulatory issues for senior management ahead of board and senior management meetings. Key Requirements: Relevant knowledge of FCA compliance requirements for UK regulated financial institutions, particularly in relation to either private equity, or asset management sector 3-5 years’ experience in managing compliance issues in a UK regulated financial institution, with at least two years in private equity or asset management Financial Crime compliance experience (desirable but not essential) Ability to plan ahead and proactively address issues; Ability to manage and prioritise a busy and diverse workload with a range of deliverables for a variety of stakeholders; Confident and articulate, with excellent written and verbal communication skills; Highly motivated and results driven; University degree and preferably a postgraduate qualification in a relevant discipline. Good organisational skills and attention to detail.

Compliance Operations Analyst – Asset Manager

London

£55,000 - £60,000 basic salary + package

A well established and highly successful Wealth/Investment Manager are seeking to recruit a Compliance Operations specialist to support on a number of key regulatory initiatives across the business. The Role You will be responsible for: Identifying, escalating and mitigating risks Keeping abreast of current and upcoming regulatory developments and assisting in advising the business on their impact and incorporating them into processes and procedures Acting as a subject matter expert within the team on queries relating to Operations and the associated regulations Responding to requests for advice from the front office, operations and other business areas and provide the appropriate level of support to either resolve or escalate the matter being referred Reviewing and approving financial promotions Reviewing and approving requests for personal account dealing Carrying out identity verification checks on clients of different types for AML purposes Preparing compliance reports and MI for other members of the Compliance Team and senior management Assisting in the reviewing and production of policies and procedures, both within the team and the wider business Key Requirements To succeed in this role you will have knowledge of: Experience of delivering Compliance advice within a discretionary Investment Management or Wealth/Financial Planning environment or similar Familiarity with the key FCA Sourcebooks (COBS, CASS, SUP, etc.) Technical knowledge of Investment Operations including CASS, Transaction Reporting, Dealing and Settlements Knowledge of the JMLSG Guidance Notes Knowledge of Financial Promotions Would consider someone from an Investment Operations background who is looking to develop a career in Compliance Excellent written and oral communication skills Attention to detail Self-starter, high levels of initiative and a strong work ethic

Compliance Advice Analyst – Asset Management

London

£50,000 - £70,000 + package + discretionary bonus

The role is with a multi-national asset management firm with Headquarters in London. Their customers include individual savers and investors, members of pension schemes and life insurance policyholders. The company currently manages almost £300 billion of customer assets in investments including bonds, equities, infrastructure, property, alternatives and cash. About 2000 employees globally, with 1400 in their London office. The Role Working as a part of the investment compliance advisory team you will be directly responsible for providing professional and timely Compliance advice to the investment management business in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities. While reporting directly into Investment Compliance Advisory Manager, your responsibilities will include: Providing advice and support to the business in relation to institutional product regulation Regulatory rule interpretation as well as advising on UK regulatory requirements and the FCA Handbook (e.g. SYSC, COBS, MAR, SUP, US Investment Advisers Act etc.) You will be working closely with the Regulatory Development team on regulatory changes with a markets / trading focus as well as advising the front and back office on transactional regulation and market facing issues You will need to be able to advise the business on MiFID II and EMIR requirements and other markets / trading related matters Supporting a range of regulatory change projects and business changes projects which have regulatory impacts Technical input with regards to the development of regulatory training (e.g. market abuse, information barriers, conflicts of interest) Supporting the review and ongoing maintenance of company policies and inputting into the delivery of regular Compliance Department Completing due diligence when the business is seeking to invest in a new market or instrument Key Requirements University degree and/or relevant industry qualification Minimum of 1-3 years working experience of regulatory compliance experience in institutional asset management or sell-side Knowledge and awareness of US, UK and European regulatory environment and their impacts on a UK based fund manager You will Be a self-starter, high levels of initiative and a strong work ethic Able to analyse complex and evolving positions and ability to express regulatory concepts in a clear and concise manner Have strong communication skills Be commercially aligned with a can do attitude and pragmatic approach to provision of advice Be a team player, supportive, with a collegiate approach

Financial Promotions Officer / Asset Management - 6 Month FTC

London

50000

Our client is one of the world's largest custodian banks and asset servicing company, with about $2 trillion AUM. The business is also is one of the world’s 10 largest investment managers, which combines the scale of a full-service investment firm with the focused expertise of autonomous investment boutiques. The Role An opportunity to join the expanding Distribution & Financial Promotions Compliance team, providing advisory support to and undertaking oversight of business functions on compliance matters relating to its’ distribution activities within Europe, the Middle East and Africa (EMEA) and Latin America, including review and approval of sales and marketing collateral primarily relating to products domiciled in the UK, Ireland, Luxembourg and Cayman. Provide compliance advisory support in respect of company’s distribution activities within EMEA Review and approval of financial promotions for both retail and professional clients to ensure compliance with the FCA financial promotions rules and the regulations in other jurisdictions To assist in the implementation and execution of the risk-based compliance monitoring programme. To assist with the contribution of the corporate governance framework, including input to the preparation of reports to the Executive Committee, the Board and internal governance committees, including the Risk & Compliance Committee. Demonstrate awareness of current and emerging regulatory and industry developments and the potential impact on the company and the associated fund management companies. Demonstrate awareness of regulatory and industry developments which are likely to have an impact on the business activities or those of the associated fund management companies. Key Requirements Prior experience working with financial promotions Previous exposure working with retail financial services products would be beneficial, in particular retail investment products such as UCITS. Good knowledge of the UK regulatory system including the FCA’s supervisory approach and the Handbook of rules/guidance, in particular the Financial Promotions rules in COBS. Competent in Word, Excel, PowerPoint and other desktop applications. Strong interpersonal and communication (oral and written, including report writing) skills essential, including ability to communicate with staff at all levels. Ability to work effectively under pressure and to tight deadlines. Must be capable of exercising sound judgement and good decision-making in managing risk. Good organizational skills and self-discipline in managing priorities. Degree level preferred but not essential.

Pricing Manager

Liverpool

£33,000 - £50,000

As a Pricing Manager, you will coach and develop team members whilst leading your team to help the business make informed decisions at the right time. The Client: One of the UK’s largest online retailers, with multiple well-known brands, this highly successful business has been expanding and improving consistently throughout its extensive history. To continue their success, they are now looking for a Pricing Manager or an experienced Senior Pricing Analyst to take the next step in their career. This Client does not provide sponsorship. Key Responsibilities of the Pricing Manager: Providing performance analytics on pricing strategies Developing statistical models for price optimisation Provide commercial insight and recommendations Communicating with an influencing senior stakeholders The ideal candidate for this Pricing Manager opportunity will have the following knowledge, experience and understanding: Good degree in a numerate discipline Experience of statistical analysis within business Computer, programming and Data Analysis tools – SAS, Excel, SQL, TRIAD, FIBDS, DSS, etc. Problem solving Commercial Awareness Communication Coaching skills

Senior Pricing Analyst

Liverpool

£27,000 - £43,000

As a Senior Pricing Analyst, you will make the best use of the increasing amount of data available to make more informed pricing decisions for the financial services business. The client: One of the UK’s largest online retailers, with multiple well-known brands, this highly successful business has been expanding and improving consistently throughout its extensive history. To continue their success, they are now looking for an experienced Senior Pricing Analyst to join the team. This Client does not provide sponsorship. Key Responsibilities of the Senior Pricing Analyst: Provide performance analytics on pricing strategies Develop statistical models for price optimisation Provide commercial insight and recommendations The ideal candidate for this Senior Pricing Analyst opportunity will have the following knowledge, experience and understanding: Strong SQL or SAS skills Excellent Excel skills Degree in a numerate discipline Analytical and logical mindset Eye for detail Ability to coach others

Financial Crime Executive - Private Equity

London

£55,000 - £65,000 + Excellent Benefits

A Private Equity, Government backed organisation are looking to recruit a specialist financial crime executive to complement their existing team. The organisation is very active in investment opportunities in Africa and South East Asia across emerging and frontier markets. This client is able to provide sponsorship. The role- This role will be responsible for taking the lead of due diligence of integrity risks associated with investing as well as monitoring the ongoing process following the initial investment. The main focus will include: Take responsibility for the team’s monitoring of integrity issues Develop tools in anti-corruption, anti-money laundering or counter terrorist-financing Work to strengthen the internal business integrity processes Identify, communicate and promote best practices A major focus of the role will include Anti-Bribery and Corruption. Key Requirements- The ideal candidate for this role will have extensive experience in Anti-Bribery and Corruption practices alongside a wider skillset covering the full spectrum of financial crime practices and investigations. You will have experience in operating in the South and South East Asian market. You will have a proven track record of investigation practices and of developing effective solutions to financial crime and ABC solutions. This is a fantastic opportunity to work for a globally reaching organisation with an ethical mission.

Senior Credit Risk Analyst

Liverpool

£Competitive

As a Senior Credit Risk Analyst, you will monitor and evaluate the existing decision making process, recommending and implementing necessary changes, as well as coaching and mentoring analysts within the team. The Client: One of the UK’s largest online retailers, with multiple well-known brands, this highly successful business has been expanding and improving consistently throughout its extensive history. To continue their success, they are now looking for an experienced Credit Risk Analyst to join the team. This Client does not provide sponsorship. Key Responsibilities of the Senior Credit Risk Analyst: Develop and maintain reporting, ensuring accuracy, communicating complex information and deciding on best analytical methods to lead business improvement Development, production, evaluation and monitoring of strategies and scorecard/decision systems Test and implementation of new systems modules and/or policy rules Act as role model and coach/mentor to team members, assisting with management and training of analysts The ideal candidate for this Senior Credit Risk Analyst opportunity will have the following knowledge, experience and understanding: Good degree in a numerate discipline Experience of statistical analysis within business Knowledge of the Credit Life Cycle Computer, programming and Data Analysis tools – SAS, Excel, SQL, TRIAD, FIBDS, DSS, etc. Problem solving Commercial Awareness Communication Coaching skills

Assistant Manager Financial Crime – Consultancy

London

£40,000 - £50,000 + Package

A top-tier consulting practice are looking to add an Assistant Manager to their well-established Financial Crime team. The role- The client is seeking an Assistant Manager to join their Financial Services Financial Crime team. The successful individual will support the delivery of a range of financial crime projects. Each project will generally incorporate a review and assessment of the current state of compliance, discussing matters directly with the client, proposing and delivering solutions and providing oral presentations. Key Requirements- The client looks for subject matter expertise in one of the following areas – Anti Money Laundering, Transaction Monitoring & Sanctions. You will either be a specialist within one of these chosen fields, or have an in-depth knowledge of all three. For each area the client is looking for a attract record of delivering on Target Operating Model design, review and assessment of policies and procedures and delivering training and/or facilitating workshops. The successful individual will either have held a similar positon within the FS Industry, Consultancy or the regulator. You will be confident engaging with clients at various levels and be effective at looking at ‘the bigger picture’ for both your client and the business. This is a fantastic opportunity for an ambitious, talented consultant to establish themselves within a globally leading organisation.

Senior Manager KYC – Commercial Banking

London

£80,000 - £100,000 + Package

An innovative and dynamic Bank is currently looking to appoint a Senior Manager to lead their FLOD team in London. Our client offers a full suite of products and services to developing businesses in the UK, including current and deposit accounts, loans, cash management services, trade finance and foreign exchange. The Bank has had a presence in the UK for over 10 years providing access to financing solutions for some of the highest profile and fastest growing UK-based technology companies. This Client does not provide sponsorship. The Role- This role will have responsibility for a newly formed function and will lead the technical delivery of the 1st Line of Defence function. You will lead the relationships with key stakeholders including Client Services, Relationship Managers and Operations and ensuring that the required level of Due Diligence and client verification have been undertaken. You will be responsible for optimising the target operating model for the function and embedding it within the business. Key Requirements- For this role the ideal candidate will have extensive experience of implementing and leading and a First Line of Defence function within a corporate or commercial banking business. You will be a subject matter expert within CDD/EDD/Onboarding and KYC. You will have experience of working within a global business and be comfortable leading a team.

Senior Credit Risk Analyst

Liverpool

£Competitive

As a Senior Credit Risk Analyst, you will monitor and evaluate the existing decision making process, recommending and implementing necessary changes, as well as coaching and mentoring analysts within the team. The Client: One of the UK’s largest online retailers, with multiple well-known brands, this highly successful business has been expanding and improving consistently throughout its extensive history. To continue their success, they are now looking for an experienced Credit Risk Analyst to join the team. This Client does not provide sponsorship. Key Responsibilities of the Senior Credit Risk Analyst: Develop and maintain reporting, ensuring accuracy, communicating complex information and deciding on best analytical methods to lead business improvement Development, production, evaluation and monitoring of strategies and scorecard/decision systems Test and implementation of new systems modules and/or policy rules Act as role model and coach/mentor to team members, assisting with management and training of analysts The ideal candidate for this Senior Credit Risk Analyst opportunity will have the following knowledge, experience and understanding: Good degree in a numerate discipline Experience of statistical analysis within business Knowledge of the Credit Life Cycle Computer, programming and Data Analysis tools – SAS, Excel, SQL, TRIAD, FIBDS, DSS, etc. Problem solving Commercial Awareness Communication Coaching skills

Senior BI SQL Developer

Stoke-on-Trent

Up to £45,000 + 25 days’ holiday + benefits

With two well-established market leaders recently joining forces, this major business is the largest of their market in the UK. The company is now looking to expand their BI & Data team with the appointment of an ambitious and experienced BI SQL Developer. Key Responsibilities of the BI SQL Developer: Support in building and managing the BI platform Leading BI & Data projects Contribute to the overall data strategy and vision for the business Drive continuous improvements in data quality standards Helping with resolution of data issues Mentor Analysts and junior team members Ideal experience for the Senior BI SQL Developer role: Experience in writing complex T-SQL (Transact SQL) Stored Procedures Microsoft SQL Server 2014 server side development including (SSIS, SSRS, SSAS) Some database administrative experience Experience of Data Warehousing Experience of proactive, problem solving to consider all options but committing to a course of action and delivering the outcome Detailed data analysis and presentation Power BI experience would be advantageous Experience of managing, leading and developing people

Lead Credit Risk Analyst-Strategy

London

Up to £80,000

As the Lead Credit Risk Analyst you will work within consumer credit portfolios, assisting in the design, implementation and monitoring of credit management strategies. The Client: A modern fintech challenger bank. This Client does not provide sponsorship. Key Responsibilities of the Lead Credit Risk Analyst: Develop, maintain, implement and manage credit risk strategies throughout the customer lifecycle Assist in the development of customer lifetime value models Assess, analyse and respond to key strategic issues that may impact product profitability or customer benefits Mine internal and external data using latest data mining using SQL or Python Produce analytical reports to monitor risk and commercial performance Help to maintain and develop the impairment calculation methodology (PD, EAD, LGD) The ideal candidate for this Lead Credit Risk Analyst opportunity will have the following knowledge, experience and understanding: Experience in a similar role Strategy experience would be beneficial Strong knowledge of Excel, SQL and Python Possess excellent analytical skills Ability to work in a fast paced environment Strong communication skills

Debt Manager Analyst

Liverpool

£Competitive

As the Debt Manager Analyst, you will support the Collections Strategy team in the move from Debt Manager 6 to Debt Manager 11 over a 12 month contract. The Client: One of the UK’s largest Financial Services business of their kind, with multiple well-known brands, this highly successful business has been expanding and improving consistently throughout its extensive history. This Client does not provide sponsorship. Key Responsibilities of the Debt Manager Analyst: Support the build and design of the new version of Debt Manager Implementation/Development of the Debt Manager 11 system Maintenance of the Debt Manager 11 system to ensure that it runs without issues Testing and development of the system Ensure all changes are documented and signed off by relevant stakeholders Stakeholder management, the ability to proactively identify & highlight improvement The ideal candidate for this Debt Manager Analyst opportunity will have the following knowledge, experience and understanding: SME understanding of Debt Manager (ideally DM9 +, or at least DM6) Experience of Debt Manager implementation and maintenance Experience working within collections and recoveries Knowledge of SAS/SQL (not essential) Experience of full systems life cycle development (not essential)

Technical Expert - Credit Risk Modelling

Brentwood

£60,000 - £70,000

As the Credit Risk Modeller, you will provide the SME expertise and substantial hands-on risk modelling know-how to help manage the model development projects end-to-end. The Client: A growing specialist Challenger Bank covering Consumer, Business and Property Finance. This Client does not provide sponsorship. Key Responsibilities of the Credit Risk Modeller: Significantly contributing to the optimisation of risk strategies and decision making Hands-on development, calibration and validation of scorecards, models, credit grading systems, etc. (Basel IRB, IFRS9, PD, EAD, LGD, predictive, etc.) Managing and leading projects to deliver and implement solutions Working across the entire credit lifecycle Using SAS to process, organise and standardise data Coaching, training and developing junior staff The ideal candidate for this Credit Risk Modeller opportunity will have the following knowledge, experience and understanding: Strong academic background, relevant degree in a numerate discipline Extensive experience of hands-on analytics and modelling, including building models from scratch Experience in Financial Services environments Strong SAS programming skills (Base SAS & Macros) Technical know-how in scorecards, Basel IRB models, etc. Good working knowledge of Microsoft Office, especially Excel Strong data handling and processing skills

Senior Manager, Financial Crime Compliance - Consulting

London

£80,000 - £100,000 plus excellent package

Job Title: Senior Manager, Financial Crime Compliance - Consulting Job Description: This growing and successful niche consulting practice are looking for a number of exceptional individuals to join the team in London covering a wide range of Financial Crime Compliance/Anti Money Laundering functions. The Client- Consulting firm working purely in the Banking & Financial Services space across all sectors, specialising in Financial Crime Compliance. This Client does not provide sponsorship. The role- Provide high quality analysis, insight and advice to clients in the Banking & FS sector, with a particular focus on anticipating regulatory change Regulatory Advisory and Financial Crime Compliance Strategy including; AML, CTF, Sanctions and ABC Work with a wide range of client projects that address complex issues, possibly across several work streams and manage senior stakeholder expectations Identify opportunities as the Financial Crime regulatory landscape develops Have a broader perspective of potential issues and the market intelligence to identify opportunities and work with the firm on building the right capabilities Delivery of client engagements to Banks and providing financial crime compliance solutions Key Requirements- Regulatory Compliance knowledge particularly within Financial Crime (Money Laundering, Terrorist Financing, Bribery & Corruption, Fraud, Market Abuse) Candidates could come from having worked within a Financial Crime / Compliance function Gap analysis skills and experience Ability to identify weaknesses in key controls and management to provide pragmatic solutions Strong stakeholder management and influencing skills Capability to make strong, constructive judgements Experience within Banking & Financial Services ideally Collaborative approach to work

Regulatory Consultant (Manager)

London

£70,000 - £80,000 plus car allowance & package

This role is to work for a Big 4 Consulting firm, sitting in the Regulatory Insurance Team which provides regulatory advice to a number of leading Insurance firms. The team is experiencing significant growth and this hire is to support the delivery of Regulatory projects across the market. The team offer advisory skills and compliance function support due to their considerable experience of the industry and specialist knowledge of the UK regulatory environment. The Client- Big 4 Consulting firm specialising in Regulatory Advice and Assurance to the Insurance industry with a particular focus on the Pensions and Retirement Income market The role- Delivery and management of client engagements where KPMG is advising insurance firms on the impact of changing regulation on their business models and supporting them through the changes Focus on Governance, risk and controls and corporate culture Review and improvement of conduct risk frameworks and issues Understanding how the firms should advise their customers Experience of remediation of legacy conduct issues You will be horizon scanning and interpreting the impact of regulatory change for clients including topics such as Senior Managers regime The role could involve supporting firms in delivering their own compliance responsibilities Delivering Section 166 reviews and reporting to the FCA This person will also be working on proposition development and people management Preparing presentations, training, thought leadership and marketing materials Key Requirements- Detailed knowledge of the FCA’s approach to conduct risk management and thematic areas of focus in the pension and retirement income sector Detailed knowledge of the products offered and the key conduct related risks posed by firms operating in the pension and retirement income sector and / or knowledge of the FCA’s approach to supervising the conduct of financial services firms Detailed knowledge of the FCA’s approach to market risk, conduct risk, product governance, corporate governance, assurance frameworks, organisational systems/ controls and key customer interfaces. Flexibility to work across the UK Degree qualified preferably with a relevant compliance qualification Applicants could come from Industry, a relevant Regulatory Body such as the FCA or Consulting Project Management skills Excellent communication and presentation skills

Legal & Risk Manager - Technology

London

£70,000 - £90,000

The role- The role will be responsible for developing and maintaining a centralised, coordinated system of information management and certification of quality standards in regards to how the business operates. The overall management of this system is to ensure business management around legal, compliance and risk management purposes. This will involve: - Transaction Management - Employment Law - Contract Law - Intellectual Property (e.g. Trademarks) - Maintenance of Compliance infrastructure, including ISO, GDPR, AML etc. - 360 degree risk management and mitigation (e.g. covering PESTEL horizons) - Insurance management - Statutory records and submissions - Change management and training throughout the company for implementation of structures, procedures and information exchange - Oversight of work of external consultants on allocated projects in regards to compliance and standards - Senior stakeholder management to ensure conformance with company and industry standards and reporting to Senior management regular updates and MI as required Key Requirements- Around 10 years business / industry experience Relevant qualifications and / or degree in subjects such as Law (Employment, Property or Company as an example), Data Protection, Risk, Governance An individual with a solid background in Risk (Corporate Risk / Risk mitigations) A strong people person who communicates well in both person and in written format A solid influencer with excellent soft skills to be able to identify the realities and gain trust and respect from the business A background in the software industry would be advantageous Cultural fit with an innovative, start up type environment with a strong commercial focus .

Manager / Senior Manager - Wholesale Conduct Regulation

London

£50,000 - £100,000 + package

The role is working for one of the "Big Four" audit and accounting firms. The company has one of the largest professional services network in the world by revenue and number of professionals. It provides audit, tax, consulting, enterprise risk and financial advisory services with over 260,000 professionals globally. The Role As part of our rapidly growing team, your responsibility will be to provide high-quality consulting advice to the financial sector. You will be helping clients to anticipate and understand regulatory and policy change. You will also have the opportunity to work with a host of prestigious organisations available through our extensive network. As a Senior Manager you will have responsibility for: Providing high quality consulting advice to the financial sector, helping clients to anticipate and understand regulatory and policy change. Leading the existing team as well as having a key role in recruitment, growth and staff development. Growing the business through business and proposition development. Working with prestigious organisations available through the internal network. Understanding the impact of regulatory developments on clients and the managing of client projects. Developing solutions and value adding propositions and being involved in taking these to market. Providing implementation and technical services where remediation is required. Leading several engagements simultaneously and managing client expectations. Having a broader perspective of potential issues encountered when managing diverse teams and the strategies to overcome them; having a clear understanding of the firm’s commitment to creating a more inclusive culture. Key Requirements University degree and/or relevant professional qualification and/or significant relevant consulting or industry expertise. Experience in the RegTech markets would be greatly desirable. Proven track record in the understanding and interpretation of the regulation and the implementation of solutions to address regulatory requirements. Detailed technical knowledge of the PRA’s and FCA's regulatory frameworks as applied to the wholesale sector. Knowledge of latest regulatory developments and key conduct issues facing regulated firms. An understanding the impact of regulatory developments on clients and the delivery of client projects. Ability to develop solutions and value adding propositions and taking these to market. Experience of providing implementation and technical services where remediation is required. Ability to identifying developing and converting sales opportunities through an extensive industry network.

Internal Consultant / Advisory Projects - Banking (Prudential)

London

£50,000 + package

The role is working for one of the "Big Four" audit and accounting firms. The company has one of the largest professional services network in the world by revenue and number of professionals. It provides audit, tax, consulting, enterprise risk and financial advisory services with over 260,000 professionals globally. The Role As a part of specialist’s team, you will help our clients anticipate, assess and manage the strategic implications of regulatory developments in financial services. The team achieves its goal by producing distinctive thought leadership, maintaining an early warning capability to spot emerging regulatory and supervisory issues, and by offering targeted commercial support. It works closely with regulatory specialists to assess the implications of new regulations for business models and determine how business strategies should respond. The eminence and insights led from the team drive company’s market-leading capabilities and client relationships in financial services. As a part of the team, you will contribute to: Maintaining an overviewing of relevant developments in prudential initiatives in the UK and at EU and international levels, including through tracking new policy initiatives, identifying emerging topics and developing expertise in those topics; and developing relevant contacts with regulators, policymakers and industry; Leading the analysis and assessment of the strategic implications of new and emerging regulatory requirements; Driving forward thought leadership on the issues identified; Producing outputs including reports and presentations; Engaging with client-facing teams and directly with clients, in the UK and overseas, to leverage the analysis; Managing resources to deliver work to agreed deadlines; Ensuring the quality of outputs; Contributing to cross-team initiatives. Key Requirements Strong educational background. A strong understanding of key regulatory and supervisory initiatives in prudential regulation, recent developments, and the process by which requirements are developed and set; An understanding of strategic challenges and trends in the banking sector and financial services industry more generally; The ability to track and quickly and efficiently review a large volume of; Strong interpersonal skills, and the confidence to liaise and build relationships with a variety of stakeholders; Excellent time and workload management skills, and the ability to work flexibly under pressure; Exceptional presentation and business writing skills; The ability to independently drive and draft pieces of regulatory insight; High professional standards; Experience of managing or mentoring staff.

Head of Compliance - Mortgages

South East London

£90,000 - £120,000

Heading up the Compliance function and team – defining, implementing and maintaining a robust regulatory framework and strategy across the firm. The Client- This firm has been established for over 30 years and operates as a residential mortgage lender, servicer and buy-to-let specialist. Now also looking to develop more growth opportunities in the Mortgages market alongside its established offerings. This Client does not provide sponsorship. The role: Define and maintain a robust compliance framework through the creation of relevant policies and standards Manage the strategy for Conduct Risk and ensure sufficient controls are implemented and adhered to Manage a diverse team of skilled and motivated compliance professionals Ensure the function offers high quality advice, support and challenge to the senior management team Review existing and new legislation / regulatory requirements to ensure the business is aware of any future regulatory developments and any key risks are identified and monitored Develop and manage, in conjunction with the CRO, the relationship with the regulators to maintain and further build an open and constructive relationship Provide subject matter expertise to the business around any regulatory matters Provide leadership on wider risk issues as part of the CRO’s senior management team Accept regulatory responsibility for the compliance function and also act as the company’s Data Protection Officer Key Requirements: Prior experience as an FCA / Approved person and or/ experience of engagement with the FCA Compliance related qualification would be desirable Financial Services FCA regulated experience including Mortgage market experience (MCOB, SYSC, Banking Codes, GDPR) Strong communication skills with proven leadership and people management skills Influencing skills to demonstrate credibility at all levels, including Board Commitment to fair treatment of customers in providing products and service through the customer life cycle

Regulatory Advisory Manager (Specialist Lender / Mortgages)

Kent

£50,000 - £55,000 plus package

Working as part of the Regulatory Advisory Team, providing support to the Senior Compliance management team to ensure the business meets its FCA regulatory requirements and the Group’s business goals in a rapidly changing regulatory environment. The Client- Specialist lender and retail savings plc bank. Offering Residential and Buy-ro-Let / SME Mortgages and Personal Loans. The role- Provide regulatory advisory services to the business in regards to the interpretation of FCA rules and guidelines Manage group wide communications on Regulatory and Financial Crime policy matters Ensure all Regulatory policies are up to date and remain accurate Liaison with the people development team to ensure any training is given the specialist knowledge around Compliance Support the business around any investigations in Compliance related incidents / breaches and provide Compliance advice on any remedial actions Ensure the Group and its subsidiaries are given the required assistance for specialist technical advice and wider FCA related compliance issues Key Requirements- Minimum 1.5 years’ experience working in regulatory compliance role within the financial services industry A minimum of 12 months experience in a compliance advisory role which relates to mortgage activity and / or savings Experience of working with senior management MCOB or BCOB knowledge is essential Experience in Policy updating is desirable

Head of Compliance and MLRO

London

£75,000 - £95,000

The Head of Compliance and MLRO will work within a small team to ensure legal and regulatory compliance is maintained in a manner that helps maximize business opportunity. Regulatory compliance is paramount to the business and you will be responsible for ensuring that all activities meet our regulatory and industry obligations. The Client: National Consumer Credit Business with strong market reputation. This Client does not provide sponsorship. The role- Assessment and oversight of compliance; development and implementation of compliance monitoring, testing and training initiatives Constructively challenge and contribute to the business planning process developing relevant strategies and lead the formulation of Compliance strategy, budgets, policies, and procedures, to support the organisational business strategy Consult proactively with management to set compliance policies and development of procedures interpreting change designed to achieve compliance with applicable laws and regulations Reports to management where necessary to keep abreast of steps taken and to ensure that concerns and recommendations are clearly articulated so that appropriate action can be taken on behalf of the business as necessary. Reports to the CEO and the Board where necessary to facilitate escalation of significant compliance issues Relationship management of regulatory bodies, FCA, Companies House, ICO and co-ordination of associated visits, reviews and documented responses. Act in the capacity of MLRO (CF11) to ensure a robust approach to responsibilities and management of the Organisations anti-money laundering and data protection policies and procedures. Provide compliance input into companywide projects and initiatives to help ensure new products, new business lines, new distribution channels and new processes are designed so as to ensure compliance. Design of monitoring programs to provide assurance that regulatory compliance requirements and potential conduct compliance risks have been identified and addressed. Ensuring that risks identified, and controls deployed to mitigate those risks, are consistent with Organisations’ wider risk appetite policy and framework. Identify emerging compliance risks by closely monitoring regulatory developments and internal and external business initiatives, including due diligence and integration, and evaluate the impact of business process changes necessitated by regulatory developments and other events, and consults with and advises management as to necessary business and corporate processes to promote day-to-day conduct compliance. Provision of MI and regulatory analysis to Board and other management forums as required Recruiting, developing and retaining talented people/skill sets to ensure appropriate succession plans are in place for function Ownership of day-to-day regulatory compliance issues and the handling of more complex regulatory compliance issues and non-routine inquiries by the Board and other stakeholders. To implement and manage the Data Protection framework and to keep up to date the Data Protection policies and procedures and to disseminate the new rules/regulations on Data Protection Act to staff. Skill set- Significant experience in compliance professional discipline in a senior capacity Advanced degree and/or professional designation required (ICA) FCA approach to supervision. Compliance / regulatory / legal experience in financial services, consumer credit Excellent understanding of relevant FCA rules, FOS, Data Protection legislation Anti Financial Crime legislations and Bribery Act 2010 In depth understanding of the financial services sector/consumer credit sector. Strongly analytical with excellent commercial and financial acumen Strong capability in strategic thinking and effective business planning with highly developed customer and market insight Well-developed leadership skills (both people and thought). High levels of drive, energy and personal commitment to success Ability to package and present ideas in a persuasive manner Ability to prioritise and manage multiple and complex projects simultaneously Strong influencing skills and the ability to communicate effectively both orally and in writing with all levels of management, regulators, and committees of the Board of Directors.

Mortgage Consultant/Advisor

Southampton

£22,000 - £28,000 – OTE £45,000 - £65,000

Mortgage Consultant/Advisor Job Description: To take full responsibility for achievement of specified business objectives by the successful completion of mortgage, protection, general insurance and other peripheral incomes generated from the highest level of compliant service to clients and positively embracing FCA’s "positive customer outcomes" initiative. The Client: National Mortgage Broker The Role: Achievement of minimum business validation targets Achievement of personal objectives, e.g. Introducers, Financial Planning conversion, and other peripheral income as required Achievement of agreed Key Performance Indicators Achievement of Compliance Standards Achieve validation as per the annual company scheme Responsibility to identify the client’s mortgage and protection shortfall needs fully and to present relevant solutions Responsibility for adherence to compliant process within all sales Responsibility for carrying out remedial action required on files in a timely fashion Building relationships with clients and introducers capable of making a contribution towards personal sales targets Implementation of company policy i.e. FCA, Health & Safety, Statutory & Employment Laws Develop and grow effective working relationships with all John Charcol departments Responding promptly to, and with appropriate diligence in line with company procedures, any complaint received Adherence to all requirements as set out in the company’s Training & Development Manual, Sales Procedure Guide, AML guidance and other relevant manuals Responsibility for maintaining and driving your Continuous Professional Development Responsible for keeping yourself updated on company policies To present a professional approach to a high standard of service quality and product knowledge, maintaining high standards of integrity, conduct and behaviour To drive the business forward and respond positively to changes in business practise and objectives where it necessary from time-to-time Consistently demonstrate good Conduct Risk behaviours by placing the customer’s best interest at the heart of everything you do and recommend improvements where possible Contribute through actions and behaviour to ensure the culture of the whole company reflects this Key competencies: Team player Ability to work to tight deadlines Works well under pressure Good computer skills (Word, Excel & Microsoft Outlook) Sales and client focused Results orientated Good communicator Good at planning and organisation Commercially astute A passion for financial services and the mortgage market MUST be fully CeMap qualified

Principal Consultant – Regulatory Consulting

Reading

£80,000 - £100,000

Specialist consultancy firm covering governance, risk and compliance for Banking and Financial Services clients. This Client does not provide sponsorship. Job Purpose: Within Business and Regulatory Assurance (BRA), our key objective is to help firms raise standards thereby enabling them to safeguard their reputation, mitigate regulatory risk and drive better outcomes for their business and customers. A Principal Consultant is responsible for defining, designing and delivering one of RBAs core services; for proactive business development in relation to the core service; and for reactive secondary service line development. The current five core services are: • Paraplanning • Business Quality Assurance • Past Business Review and Remediation • Transforming Customer Outcomes and Experience • Collections and Recoveries Reporting to the Head of Delivery, a Principal Consultant is also a member of the senior management team in RBA Tasks Be an ambassador for Huntswood across the industry and lead on regulatory, client and industry stakeholder relationships Lead and manage a core service, continually reviewing, adapting and developing it in order to achieve the financial targets set out in the core service plan Build and maintain an elite contractor pool for core service line they are responsible for in order to deliver sustainable and flexible resource provision Act as a mentor for Senior Consultants and Consultants as appropriate Responsible for identifying, initiating and leading sales bids and other business development activities Responsible for implementation of standards in risk management, cost control and resource utilisation Act as engagement manager on large and complex projects whilst supervise large teams, having responsible for quality, profit and project planning and engagement risks Play an active role in account management with client organisations Maintain strong relationships with internal stakeholders including CCO Team, Legal and resourcing Key Performance Indicators: Delivery on financial and organisational targets in line with the agreed RBA 4 year business plan Development of good working relationships with other key stakeholders across the business to ensure a joined up and collaborative proposition Continual development of the reputation of RBA through diverse media including client meetings and networking, external publications, attendance at events Line management responsibilities, (internal communications, and career and performance development) Person specification: Expert knowledge and experience in Retail Conduct Risk related issues Comprehensive and detailed understanding of the FCA including both current and emerging issues affecting firms A strong track record of leading regulatory teams and projects Experience of liaising at a senior level to form strong working relationships and facilitate the running of advisory projects Broad knowledge of UK Retail Financial Services, including regulation, market and competitor activity and industry trends Experience of translating operational requirements into delivery solutions Excellent communicator with the ability to convey technical information to non-technical stakeholders Strong project and organisational skills Holder of Financial Services Qualifications Educated to degree level or equivalent Core Behaviours: The job holder should be able to demonstrate they are; Confidential, reliable and genuine Dynamic, passionate and determined Friendly, compassionate and cooperative

Field Compliance Manager (Home based)

South London

£34,000 - £38,000

You will be responsible for managing a number of Advisors within a geographical area prescribed to you. You should ensure that you are visible as the main point of contact for your area of Advisors for any and all issues relating to regulation & compliance. You should ensure at all times that you are aware of, and that all areas of risk are picked up on and reported promptly. The Client- National mortgage network. This Client does not provide sponsorship. The role- Responsibilities Ensure that there is a consistent approach to compliance and regulatory policy Working closely with Advice Quality, ensure that all checks are followed up and any issues are dealt with promptly Use observation skills to identify areas of concern or development need of Advisors and address promptly putting development plans in place where needed Effectively supervise Advisors within your span of control to ensure that: All new Advisors achieve fully competent status within required time limits All checks and signs off where required, happen within deadlines Ensure any developmental needs are identified and acted on promptly Fully competent Advisors continue performing at the required level Closely monitor all Academy level advisors, completing extra checks where required, depending on level of competency Continually monitor and manage any development needs as appropriate Promptly raise any concerns or areas of risk with Advisors & AR firms Ensure records are kept updated with all relevant and necessary information Use initiative when scheduling your diary to ensure efficiency at all times Proactively contribute to the wider compliance teams to improve processes and procedures to drive efficiency Complete regular reviews to ensure effectiveness of controls within the business, providing a report with a summary of findings and action plan to the relevant Approved Person Complete follow up where required to ensure action points have been completed within timescales and provide guidance and assistance where needed Effectively handle any regulatory or compliance queries received from AR firms & Advisors, raising any action points as necessary Regular updates & completion of relevant back office system Identify and manage risk within the business (to include quality of client files, advice quality, advice process, new advisers moving through scheme, operating procedures etc.) Audit of new ARs when required ensuring that all activity & documentation meet the necessary standard Share best practice with other FCMs to continually build knowledge Proactively provide holiday/absence cover for the team as determined by management Willingness & ability to travel within the field to enable required levels of supervision Effectively contribute to regular FCM meetings Ensure adherence to the T&C scheme at all times, at all levels Ensure all relevant regulatory knowledge is kept up to date Any other duties as requested by management in line with areas of compliance Skills & Requirements Ability to communicate at all levels with professionalism and integrity Motivational qualities to motivate the Advisors to strive for success Effective time management of self to drive efficiencies Use observation skills to identify any issues or areas of risk Out of the box thinking to enable process improvement at all times Able to demonstrate building effective relationships with key stakeholders Able to demonstrate good problem-solving skills, plan effective contingencies and solutions Use good judgement and self-sufficiency at all times to enable sound decision making

Head of Commercial Underwriting

Leatherhead

£75,000-£85,000

As the Head of Commercial Underwriting you will be responsible for the design, implementation and continuous improvement of the Underwriting model as part of the Credit Risk strategy. The Client: An established Financial Services business that has been working with businesses and consumers for 30 years. One of the major businesses within their market in the UK. This Client does not provide sponsorship. Key Responsibilities of the Head of Commercial Underwriting: Ensure that underwriting complies with Credit Policy, relevant external legislation and with internal and external Service Level Agreements Effectively manage risk and the strategic risk/reward balance of the business Provide commercial based underwriting decisions through the detailed analysis of customer accounts and other related information Lead the team responsible for underwriting new business, renewal and mid-term adjustments received Work in partnership with the team to evolve and deliver the Operations and Credit Risk strategies The ideal candidate for this Head of Commercial Underwriting opportunity will have the following knowledge, experience and understanding: Educated to degree level Strong analytical, problem solving, influencing, management and communication skills Strong influencing and management skills Accountancy or other related financial background would be desirable Essential – able to demonstrate a clear understanding of reading audited and unaudited balance sheets, cashflows and other company financial reports Experience of implementing change in a financial services environment Experience at a senior level in the financial services or insurance industry sectors Understanding of the lending industry and its regulatory environment Understanding of economic cycles and impact on credit risk

Strategy Analyst

Leeds

£31,000 - £36,000

As the Strategy Analyst, you will assist in the development and management of collections strategies, providing insight in to operational and portfolio performance. The Client: A leading consumer finance provider that has been established for almost 20 years. This Client does not provide sponsorship. Key Responsibilities of the Strategy Analyst: Develop and implement Collections Strategies Enhance collections efficiency and effectiveness Monitor and analyse the ongoing performance of collections activities and associated reporting Work with the Operations team to implement changes and improvements Liaise with stakeholders and business colleagues of all levels Present findings to Senior Management The ideal candidate for this Strategy Analyst opportunity will have the following knowledge, experience and understanding: Collections experience is essential (across any portfolio) Strong analytics skills with either SAS or SQL knowledge is also essential Strong Excel skills Able to communicate data, information and findings effectively Desire to work in a hands-on, lively environment Excellent problem solving skills

Senior Credit Risk Manager

Leeds

£60,000-£70,000

As the Senior Credit Risk Manager you will lead a team of analysts, providing insight, oversight and analytics relating to Credit Risk, Capital & Provisions and Collections. The Client: An established Financial Services business with a broad history that provides a variety of products to customers throughout the UK. This Client does not provide sponsorship. Key Responsibilities of the Senior Credit Risk Manager: Manage the credit risk portfolio risks Provide recommendations to improve Collections strategy and processes Develop and manage a team of Credit Risk Analysts Lead loss forecasting & stress testing Provide oversight of Capital and Provisions Manage key stakeholder relationships The ideal candidate for this Senior Credit Risk Manager opportunity will have the following knowledge, experience and understanding: Ideally a minimum of 5 years’ experience in Credit Risk / Financial Services Excellent Credit Risk knowledge across the customer lifecycle Experience of Capital and Provisioning in Retail Banking Environment (understanding of IRB and IFRS9 an advantage but not essential) Understanding of Collections practices and processes in Retail Banking Environment (mortgage arena would be an advantage but not essential) Understanding of SAS, IRB models (PD, EAD, LGD), etc. Stakeholder Management People Management Excellent presentation and communication skills

Insight & Analytics Manager

Manchester

£60,000 - £70,000

As the Insight & Analytics Manager you will develop and maintain the analytics function, providing insight and analysis to support the business in improving performance and achieving company objectives. The Client: An established and leading Financial Services business with over 1000 employees operating across multiple European countries. This Client does not provide sponsorship. Key Responsibilities of the Insight & Analytics Manager: Develop, manage and train the analytics team Implementing tools and techniques Produce, evaluate and interpret data, monitor trends and recommend actions/decisions Identify and maximise opportunities for improvement Communicate information to key stakeholders Review proposed strategy changes, system developments and process improvements The ideal candidate for this Insight & Analytics Manager opportunity will have the following knowledge, experience and understanding: At least 5 years’ experience within analytical functions in financial services Excellent statistical, analytical, problem solving and data manipulation skills Strong SAS, SQL, R, Tableau skills Excellent communication skills Track record of using data and insight to influence decisions, strategy and performance People Management experience not essential

Senior Credit Risk Manager

Liverpool

£50,000 - £60,000

In this role you will provide expertise in all aspects of Credit Risk. This is a unique opportunity to join a Credit Risk function in its early stages and use your specialist knowledge to influence the future of the department and the business. The Client: A long established financial services business offering a range of services and products. This Client does not provide sponsorship. Key Responsibilities of the Credit Risk Specialist/Expert: Develop / assist in the development of the Credit Risk function Develop credit risk models and monitoring standards/processes Development of MI Provide commentary for credit risk reporting, highlight emerging trends and make recommendations to management Undertake analysis of the credit risk Evolve the credit risk reporting framework to provide on-going oversight and control of the credit risk portfolio Support forecasting and stress testing activities Develop credit risk appetite limits and reporting thresholds which remain aligned with the strategic risk appetite The ideal candidate for this Credit Risk Expert / Specialist opportunity will have the following knowledge, experience and understanding: Strong and extensive Credit Risk experience Mortgages knowledge Analytical and modelling expertise, including stress testing ICAAP experience Excellent communication skills Pro-active nature with a desire to drive business forward and identify and make the most of opportunities

Credit Risk Specialist/Expert

Cumbria

£25,000 - £35,000

The Client: A long established financial services business offering a range of services and products. This Client does not provide sponsorship. Key Responsibilities of the Credit Risk Analyst: Assist in the development of the Credit Risk function Develop credit risk models and monitoring standards/processes Development of MI Provide commentary for credit risk reporting, highlight emerging trends and make recommendations to management Undertake analysis of the credit risk Evolve the credit risk reporting framework to provide on-going oversight and control of the credit risk portfolio Support forecasting and stress testing activities Develop credit risk appetite limits and reporting thresholds which remain aligned with the strategic risk appetite The ideal candidate for this Credit Risk Analyst opportunity will have the following knowledge, experience and understanding: Strong academic background – degree in a related statistical/mathematical discipline Experience in a similar analytical role, ideally Credit Risk Some knowledge of experience of SAS, SQL or similar would be beneficial Analytical and modelling experience would be a bonus Excellent communication skills Pro-active nature with a desire to drive business forward and identify and make the most of opportunities

Credit Risk Manager - Modelling

Glasgow

£50,000 - £65,000

As the Credit Risk Manager, you will lead projects relating to Credit Risk modelling. The Client: A well-known and trusted Financial Services business with a long history. A large company that is passionate about supporting local communities, businesses and individuals, as well as providing a flexible and supportive work environment. This Client does not provide sponsorship. Key Responsibilities of the Credit Risk Manager: Lead the credit risk modelling team Coordinate the design, development, validation, implementation, maintenance and monitoring of Credit Risk models Oversee model documentation and recommendation papers The ideal candidate for this Credit Risk Manager opportunity will have the following knowledge, experience and understanding: Strong academic background – analytical degree Experience of team management / training staff Professional experience of SAS, R, Excel, etc. Knowledge and experience of modelling Credit Risk or at least Financial Services experience A fast learner with a proactive and self-motivated attitude

Credit Risk Specialist - Modelling

Leeds

£35,000 - £42,000

A well-known and trusted Financial Services business with a long history. A large company that is passionate about supporting local communities, businesses and individuals, as well as providing a flexible and supportive work environment. This Client does not provide sponsorship. Key Responsibilities of the Credit Risk Specialist: Lead projects and coordinate the design, development, validation, implementation, maintenance and monitoring of Credit Risk models Provide model documentation and recommendation papers Manage and prioritise own workload Work flexibly and fluidly within the small team, supporting colleagues when needed The ideal candidate for this Credit Risk Specialist opportunity will have the following knowledge, experience and understanding: Strong academic background – analytical degree Experience of leading projects / teams of analysts Professional experience of SAS, R, Excel, etc. Knowledge and experience of modelling Credit Risk or at least Financial Services experience A fast learner with a proactive and self-motivated attitude

Financial Crime Adviser

Leeds

£50,000 pa

Our client is a leading bank who are currently recruiting for a Financial Crime Adviser. The role will be responsible for optimising systems and processes to prevent financial crime and make sure all regulations are considered in regards to financial crime prevention. Key Responsibilities: Advise the business on how to identify, and mitigate, financial crime risks Provide recommendations to stakeholders on best practice approaches to achieve the required level of compliance in all BAU, proposed and new initiatives in accordance with the business strategy and risk appetite Regularly review and maintain mandatory training, policies and procedures to ensure that they help embed a culture of responsible financial crime risk management; they remain accurate and fully embrace prevailing legal, regulatory and group requirements at all times Process internal suspicious transaction reports and make recommendations to the FCPM where external disclosures may be required (e.g. to the National Crime Agency) Provide advice and support to stakeholders to ensure that process changes are designed to meet applicable legal and regulatory requirements and do not weaken the financial crime prevention control environment This may entail, but is not limited to, providing feedback on project documents and attending risk committees and project steering groups Provide specialist subject guidance to Regulatory colleagues when financial crime related issues or requests for advice are received by the Regulatory department. The role holder will analyze and reply to any requests within the stipulated SLA’s Develop, maintain and analyze appropriate and accurate Management Information to enable effective oversight by the FCPM, MLRO and governance Committees Contribute to the compilation of monthly reporting Provide regular and accurate input to the regulatory horizon scanning and interpretation process, identifying requirements, potential risks and issues Key Requirements: Understanding of applying UK financial crime legal and regulatory requirements within an FCA authorised firm. Experience of interpreting new and existing regulations and identifying actions the business is required to undertake to ensure adherence to regulatory requirements. Relevant qualification, I.e. ICA fraud or money laundering diploma. A very strong fraud prevention and investigations background is a must, the business’s primary threat is fraud so there is naturally a bias towards ensuring candidates have an excellent understanding of current threats and prevention methods.

Interim Data Protection / Privacy specialists

Liverpool

£450 - £650 a day

Our client is a leading online retailer and one of the largest online unsecured credit providers in the UK. They are currently looking to recruit 3 individuals on a contract basis to work as part of the Data Protection office. This would be for an initial 3 months with an option to extend. They would also consider bringing people in on a fixed term basis with an option to go permanent assuming individuals were interested in this option. Candidates need to be immediately or almost immediately available with them looking to fill all roles by the end of February ideally. Key Responsibilities: They are looking for a Senior manager who will report to the DPO and be responsible for implementing the DPO function, including providing detailed requirements to the project team. They will also be responsible for the execution of BAU roles to manage the DPIA process, oversight and reporting of potential Data Breaches and rollout business healthchecks for data risks, including coaching staff across the organisation on reviews and assessments of data processes, risks and controls. They are also recruiting someone to work alongside the Senior Manager to help implement the DPO function and provide detailed requirements to the project team. They are also recruiting a Data Protection SME to provide expert input to and drafting of documentation, tolls, process and training materials to support the implementation of GDPR. They are willing to pay day rates that will be commensurate with experience and reflect the significance of the roles. The range is broad as they are keen to get a feel for all options in order that they can recruit the right people.

Interim Prudential Risk Manager

Cheadle Hulme

£600 - £700 a day

Long established, my client is a market leader in the field in which they operate. They have ambitious expansion plans as they seek to capitalise on their growing reputation in the market place. The role: They are currently looking for an interim specialist who is available to start as soon as possible to take on a short term contract to deliver a specific piece of work over a period of 6 weeks. There may be an opportunity to extend for a further 2 to 4 weeks. You will assist the Head of Group Risk in developing a set of risk management requirements from CRDIV and the PRA Handbook in order to develop a gap analysis against current practice. Key Objectives; Create an analysis of the CRDIV and the PRA Handbook applicable rules, and present as a range of practice in development and implementation of risk management frameworks Develop a gap analysis from current market practice and the groups risk framework against the above Assist the Head of Group Risk in defining elements of a prudential risk framework Key Requirements: Detailed understanding of the CRDIV and the PRA handbook and its practical application Broad UK regulatoru knowledge Likely to have held significant positions in financial services regulatory management, with the PRA or FCA or a leading professional services orgnaisation This role is fairly urgent so they are looking for someone who is immediately or almost immediately available. Day rate is negotiable and entirely commensurate with experience but will reflect the significance of the role.

Interim Compliance Specialists

Chester

£250 - £550 a day

My client provides a range of financial products, from current accounts to insurance, saving products to credit cards. This is backed by unrivalled customer service. The role: They are currently looking for a couple of individuals on an interim basis to provide some additional support to the Compliance function. They are ideally looking for a more senior individual who has an extensive background in Compliance, exposure to CONC and the ability to lead a small team. They are also looking for a more junior resource who also has a background in Compliance and ideally exposure to retail banking. The roles would be for an initial 3 months but could be extended beyond this period. Key Objectives; Provide guidance to the business to ensure the successful implementation of regulatory change Responsible for the oversight of the various product portfolios ensuring compliance with all applicable regulation Ensure regulatory and compliance standards are upheld Deal with general BAU queries Key Requirements: Excellent stakeholder management at all levels Experience of developing, implementing and reviewing Compliance and Conduct Risk policies, processes and procedures. Understanding of FCA handbook, with a good knowledge of Consumer Credit and banking. For the more senior hire, an abilitiy to lead a small team. The roles are fairly urgent so they are looking for individuals who are immediately or almost immediately available. Day rate is negotiable and likely they will be open to paying a day rate up to £550 for the more senior hire and up to £300 for the more junior appointment. This is entirely commensurate with experience.

Compliance Manager

Bingley

£50,000 - £55,000 + Benefits

My client is a global financial services’ business who because of significant business growth, have a unique opportunity for a Compliance Manager to undertake a key role within the organisation. With a focus on Mortgages, the role offers a real opportunity for an experienced and knowledgeable individual to support the business, delivering technical compliance expertise across the range of business activities, including sign off to financial promotions and other customer documentation. The role is key ensuring all statutory and regulatory requirements are complied with in accordance with industry best practice standards. Key Responsibilities: Day to day compliance advice and oversight of group business activities, including a focus on supporting the business in conduct risk matters. Support the Risk & Compliance Director design, implement and maintain an appropriate governance structure across the group to support the delivery of its strategic objectives and risk appetites. Confident, supportive and collaborative discussions with Clients, Servicer, third party suppliers and colleagues on regulatory change and/or issues arising, including where appropriate, challenging other’s views. Ensuring appropriate oversight / approval of any change requests where regulatory risk and/or compliance matters are evident, including reviewing MI on conduct risks matters to pro-actively identify areas for further consideration by the business. Supporting the business by timely response to queries raised, identifying generic or specific issues and ensuring the correct resolution of those queries. Providing compliance sign off to financial promotions and other customer documentation, maintaining appropriate governance and record-keeping processes to evidence these. Supporting the business in developing new business activities through engaging in meaningful open dialogue with colleagues which may include contributing to any response to Client RFP’s and/or risk assessments of new initiatives /products/internal changes. Working with colleagues on data protection matters, including performing Privacy Impact Assessments, reviewing processes and documentation for GDPR compliance and liaising with monitoring team on reviews in the data protection area. Other key responsibilities will include establishing successful working relationships with Clients, Servicer’s, third party suppliers and colleagues through appropriate working methods to ensure all compliance issues are known and understood with plans in place to address them where appropriate. Key Requirements- The ability to use a wide range of analytical tools as well as project planning techniques. Given a constantly evolving business and environment, change management and the ability to understand the commercial and organisation impacts on the risk profile. Excellent interpersonal and presentation skills, persuasiveness and communication: both written and verbal. Strong analytical skills with attention to detail. Demonstrable leadership skills. Proven organisational capabilities. Strong PC literacy. Knowledge: Detailed knowledge and exposure to regulatory risks within the mortgage industry. Understanding of FCA Handbook primarily MCOB, SYSC & PRIN and their application. Extensive experience of working in a compliance role in the financial services sector. Successful proven experience of influencing and engaging internal and external management at senior levels to deliver regulatory compliant risk solutions. Knowledge and experience of data protection preferred, but training will be offered to support development in this area if required Salary range is broad and commensurate with experience but will reflect the significance of the role. As well as a competitive salary, they offer an excellent benefits package with a fantastic working environment.

Senior Risk Manager

Leeds

£45,000 - £50,000 + Benefits

Long established my client provides the advice and support needed to achieve longer-term financial control. The role- To ensure that the Risk and Compliance function continues to support the firms regulatory requirements both now and in the future, they are currently reviewing and strengthening their existing team. They are currently looking for an individual to lead the Compliance Monitoring Team. Reporting to the Head of Compliance you’ll take responsibility for the development, documentation and execution of the firms compliance monitoring plan, ensuring the delivery of high quality compliance monitoring activities across the firm which provide assurance over compliance with regulation and good client outcomes. Duties & Responsibilities; Develop and execute a compliance monitoring plan that takes into consideration all areas of the group, including its subsidiaries, with priorities determined using a risk-based methodology to ensure that compliance is comprehensively monitored. Maintain and further develop the risk-based approach for the groups monitoring framework including determining the appropriate tools and methodologies, the extent of the monitoring programme including thematic and ad-hoc reviews, and the frequency of monitoring activities. Ensure effective resource planning through understand the capacity and capability of the compliance monitoring team to ensure that work is effectively managed. Ensure that all monitoring activity is carried out effectively and in a timely manner with regular reporting on progress against plan and objectives to the Head of Compliance and key stakeholders. Support the compliance monitoring team to promote a positive compliance culture and maintain a strong and independent second line of defence within the group. Lead review activity where required particularly where reviews are more complex, where data analysis or regulatory focus identifies thematic or systemic issues, or when directed to by the Head of Compliance. Key Requirements: The successful candidate will have extensive and proven experience of working within a senior compliance monitoring management role within an FCA regulated financial services firm as well as strong and practical working technical knowledge of financial services and other associated regulation and legislation including: FCA - CONC / CASS / SYSC / DISP / MCOB / PRIN / T&C / TCF Outcomes Insolvency legislation - IVA Code of Ethics and SIPs / DRO / Bankruptcy Financial Crime and Anti-Money Laundering Data Protection Your application must demonstrate these skills: Strong leadership and interpersonal skills including written, oral and presentation skills Proven leadership skills with the ability to lead a team and develop people Self-starter with the ability to progress a work plan with minimal supervision Excellent planning and organisation skills Proven experience of producing reports for distribution to key stakeholders and executive and board committees Proven experience of leading thematic and more complex compliance reviews Strong influencing skills with the ability to articulate difficult messages and gain buy in from senior management Salary range is negotiable and will be entirely commensurate with experience but reflect the significance of the role

Senior Risk Manager

Cheshire West and Chester

£75,000 - £85,000 + Bonus + benefits

As the Senior Risk Manager, you will join the Commercial Risk function in a newly created role to head up the Commercial Risk team and implement the Enterprise Risk Management Framework. The Client: An award-winning, specialist Financial Services business that has been established for over 40 years. Due to continued success and growth, the company has a newly created opening for a Senior Risk Manager. This Client does not provide sponsorship. Key Responsibilities of the Senior Risk Manager: Lead, develop and support the Commercial Risk team Implement the Enterprise Risk Management Framework Develop, implement and maintain the Commercial Risk Policies Framework Manage and maintain the annual review and update process of the Commercial risk and policy framework Lead risk related change projects and support the wider commercial division with related operational change and strategic process improvements. Undertake thematic reviews and data-led deep dives Work with the different areas of the business to coordinate and implement Enterprise Risk Management Framework activities, delivering an aligned approach to risk management where appropriate across the organisation. Ensure risks are assessed in line with the ERMF and provide challenge. The ideal candidate for this Senior Risk Manager opportunity will have the following knowledge, experience and understanding: Experienced team manager Excellent communication and analytical skills Excellent interpersonal and stakeholder management skills, with ability to influence up to Executive level Deep knowledge and experience of Enterprise Risk Management and of the financial services regulatory environment Experience in driving strategic change using data-driven analytical techniques and insight An understanding of financial services industry best practices in risk management and the ability to work in a challenging, and constantly changing environment Risk qualifications, whilst not essential, are preferred

Senior Manager – Regulatory (Conduct)

Manchester

£70,000 - £95,000 pa

My client is a leading professional services firm whose Regulatory team delivers regulatory compliance or risk management related support to firms that are authorised and regulated by the FCA or PRA. This support might include authorisations, gap analysis, transformation, customer remediation and redress, regular visit support, training or advice/guidance on managing regulator intervention. They are currently seeking a Principal Adviser / Senior Manager in the regional Regulatory Team, which comprises of 30 individuals that are spread across the North, the Midlands and the South. The role: Advising clients on the impact of the changing regulatory landscapes on their business models and supporting them through that change. Managing the delivery of engagements which would typically include gap analysis, transformational support, remediation, training and authorisation assistance, pre FCA or PRA visit assistance and the provision of ad-hoc regulatory advice and guidance. Building and running a portfolio of work, which might comprise a small number of large / complicated engagements or multiple smaller engagements. Overseeing the delivery teams, ensuring that the work performed, conclusions drawn and deliverables provided are to a through and exacting standard. Mentoring and coaching less experienced members of the delivery teams and the wider regional regulatory practice. Playing a prominent role in business development for the Regulatory Team and wider business, which might include assisting in the building of propositions and taking these to market as well as identifying opportunities for on-sell from existing client engagements. Self-originated sales Playing a role in research, insight development and knowledge management. Playing a role in the leadership of the regional regulatory team The delivery of client work/internal projects to a thorough and exacting standard. Key Requirements: Knowledge of the banking, mortgage, insurance and/or investment management sectors is desirable. Knowledge of the UK regulatory framework applicable to the banking, mortgage, insurance and/or investment management sectors is desirable. Knowledge of the consumer credit sector is essential as is knowledge of the UK regulatory framework applicable to the consumer credit sector. Proactive, with a desire to take responsibility / ownership Active listener and effective communicator. Planning and project management skills. Ability to manage multiple, sometimes conflicting priorities Issue identification and problem-solving skills (and proactive in thinking of new and creative ways to solve these problems). Proven ability to draft clear and concise written outputs. Proven ability to achieve results, even when faced with obstacles or setbacks. Positive and flexible attitude to work and a willingness to embrace new initiatives. Networking, influencing and stakeholder management. Confident and highly motivated individual. Flexibility to work across the UK (and internationally) where required. Proactively takes responsibility for own professional development and seeks to continually develop a breadth of knowledge and expertise. Experience of working in a senior regulatory compliance or risk management related role is essential. Experience of working on a consultancy role (at Manager or Senior Manager level) within a professional services firm is essential. This is a varied role that offers tremendous opportunity for development in of the UKs fastest growth professions at one of UK largest and more renowned regulatory consultancy practice. In terms of location, they are totally flexible and can accommodate candidates in either Manchester, Leeds or Birmingham. Salary is entirely commensurate with experience but will reflect the significance of the role.

Head of Compliance & Risk (Exclusive Assignment)

Newcastle upon Tyne

£125000 - £160000

Long established and entrepreneurially led, my client is one of the UK’s most innovative financial services group and a significant player in the UK’s wealth management industry. They are currently looking to appoint an individual who will report directly into the board and take on responsibility for SMF16 & SMF17. The role: Formulate, execute and document the company’s compliance strategy based on government legislation and the FCA's rules and guidance. Provide definitive advice on the compliance requirements in relation to strategic business developments within the firm. Manage the implementation and maintenance of compliance policy and the establishment and maintenance of adequate in-house systems, controls and compliance procedures, ensuring compliance with all regulatory requirements. In particular, design and implement the compliance system and procedures appropriate for Acting as custodian; and Acting as a CASS medium firm Oversee the firm’s Compliance Monitoring Programme. Take responsibility for all compliance systems and controls operated by the group, including Anti Money Laundering. Provide technical advice or guidance on compliance matters, within the firm and to the firm’s clients. Ensure that sufficient resources are deployed on compliance matters, manage the development of staff engaged in compliance activities in terms of qualifications and experience. Run a proportionate and effective Risk Management Framework across the firm Manage the relationship with the regulator, including all reporting requirements, communication and visits. Key Requirements: Demonstrable Compliance experience in a senior management role, and will have obtained / undertaken and approved persons role in an Investment Management or Platform Company, or are employed in a relevant Senior Position at the FCA Excellent knowledge of regulatory process and requirements. Thorough understanding of investment and financial planning principles, processes and products Confident and comfortable communicating with teams and individuals across all hierarchical levels Motivates / inspires the team and its members to perform and add value to the team and the firm Experience of compliance in the following would be an advantage: custodian firm pensions CASS Custodian firm Salary is entirely commensurate with experience and will reflect the significance of the role. For the right candidate, the client is also open to considering support towards relocation or travel / accommodation costs if required. MERJE have been appointed exclusively on this role. Any speculative CV’s sent directly to the client will be forwarded through to MERJE for evaluation and consideration.

Specialist Compliance Monitoring Officer

Leeds

£34,000 - £38,000 pa

Long established my client provides the advice and support needed to achieve longer-term financial control. The role: Working as part of the Compliance Monitoring Team this specialist role will provide effective second line compliance monitoring activities across the firm including its subsidiaries that support delivery of the compliance monitoring plan and provides assurance over compliance with regulation and good client outcomes. Responsibilities: Scope, plan and effectively lead or assist compliance monitoring review activity across the firm including its subsidiaries in line with the agreed compliance monitoring plan. This will include identification of the technical requirements relevant to each review. Provide clear instructions to the Compliance Administrator in line with documented processes to ensure that all relevant documentation, call recordings, client files and other information required for each review is sourced and received in a timely manner to ensure plan timescales are met. Conduct / support thematic and other specialist or ad-hoc reviews in line with analysis of relevant MI, sector issues or areas of regulatory focus. Identify through monitoring reviews and technical analysis any areas of non-compliance of relevant regulation / legislation / internal policy and report accordingly. Conduct / support review meetings with key stakeholders to provide findings of non- compliance in a pragmatic way. Develop and maintain effective relationships with colleagues across the firm to support and gain buy-in of compliance monitoring activity and outputs through effective influencing and negotiation, and to promote a positive compliance culture. Engage and challenge stakeholders when discussing issues identified and effectively influence change where appropriate. Produce objective, timely, accurate and well-presented compliance monitoring reports highlighting relevant findings to the expected high standards and gaining approval for distribution to key stakeholders. Support the firm in developing and implementing relevant action plans to mitigate against re-occurrence of areas of non-compliance identified within reviews - track actions to ensure that issues are addressed within appropriate timescales and ensure escalation of this to the Regulatory Compliance Monitoring Manager where this isn’t happening. Assist with the collation of compliance monitoring MI for presentation at committees and management meetings through accurate adherence to processes including updating workflow trackers Provide support to colleagues within the wider Risk & Compliance team and represent the Regulatory Compliance Monitoring Manager or the wider Compliance Monitoring Team at committee meetings where required Key Requirements: Proven experience of working within a compliance monitoring role within a regulated financial services firm Strong specialist technical expertise gained within a previous role of at least 2 of the following disciplines: CASS, Financial Crime and AML Insolvency to include IVA, Bankruptcy, DRO, PTD, Sequestration and DAS MCOB and TC Proven ability to conduct and deliver thematic and specialist compliance reviews including associated reporting and presentation of findings Good awareness of the key regulatory hotspots within the financial services sector Able to work effectively as part of a team as well as independently Excellent interpersonal and communication skills Confident and articulate with the ability to effectively influence and gain buy in from colleagues when presenting findings from reviews Strong planning and organising skills Strong report writing skills with a focus on the quality of output Salary range is negotiable and will be entirely commensurate with experience but reflect the significance of the role

Regulatory Executive, Financial Services Extended Assurance

Leeds

£30,000 - £42,500 + Benefits

My client has recently been voted as one of the top 3 companies to work for in Europe. The Financial Services Assurance Team is fully integrated, working across borders to help clients deal with issues that are critical to their success. The role- The current regulatory environment is driving significant changes to all firms’ internal processes resulting in my client recently launching Extended Assurance as part of their Financial Services Assurance practice to provide ongoing assurance to regulators, management and directors on the execution, governance and controls around processes that do not impact the financial statements. In the North of England they have started to build out this offering and as such they are looking to appoint a couple of individuals to join a team of experienced professional with ambitious to grow a leading regional financial services practice in the UK. Key Responsibilities; Work on the execution of a variety of assignments across a broad range of clients in the Financial Services sector. Examples of recent projects include CASS remediation work, reviews of risk management frameworks, assessment of regulatory required productions (e.g. ICAAP / ILAAP documents) and supporting firms with their implementation of upcoming regulation (e.g. Senior Managers regime / CRD IV) Have a keen interest and understanding of the UK regulatory environment (PRA / FCA) including the objectives of the Regulators and how this will impact their clients Work in teams, with responsibility for the overall execution of smaller projects and / or individual components of larger projects, under the guidance of Managers, Directors or Partners Be flexible in your working style to encompass working in both the office as well as client sites with a willingness to travel Key Requirements: Candidates will have a strong background in financial service ad experience of working within a bank or other financial services firm, either in compliance, risk and / or internal audit. They are specifically looking for people with particular experience of conduct and / or prudential risk management A relevant professional qualification would be preferred Particular industry specialism experience preferably in banking, insurance or investment management. Experience of interpreting, understanding and responding to UK regulation through your current / previous role.

Senior Associate / Assistant Manager, Compliance & Conduct Risk, Leeds or Manchester

Manchester

£28,500 - £38,000 + Bonus + Benefits

My client offers integrated services that include Audit, Tax, Consulting and Corporate Finance. Their Financial Services Advisory group specialises in assisting firms in the development of their governance, risk and compliance arrangement. The Northern Financial Services Practice focuses on Internal and External Audit, prudential and Financial Risk and Conduct Risk. The conduct risk team works with a broad range of clients across all financial services sectors providing a range of advisory products and services. Their work includes the design of Conduct Risk and compliance operating models and frameworks, processes and policy improvements, assistance with the assessment and implementation of regulatory change, responding to the compliance risks of internal change initiatives, together with the assessment and remediation of compliance related issues. With the increased regulatory focus on Conduct Risk and increasingly intrusive supervision regime, demand for services in this area have increased. As such they are looking to recruit a couple of individuals into the Conduct Risk team in the Northern Financial Services practice, based between offices in Leeds, Manchester & The role- The focus will be to support client projects, develop the service offering and build on existing client relationships. A requirement of the role is a willingness to travel to deliver client assignments when required. You will have responsibility for; Actively working with new and existing clients to deliver high-quality output, advice and assurance across specific subject matter including (but not limited to) regulatory framework design, regulatory change and remediation activity To act as subject matter expert advising and supporting clients in Conduct Risk Matters and other matters as required Develop and maintain productive relationships with key stakeholders Identify opportunities across existing and new clients and manage these accordingly Support local and national projects and initiatives A manager will have a broader perspective of potential issues encountered when managing diverse teams and the strategies to overcome them. Key Requirements: Knowledge of Financial Services Conduct Risk Management and regulation developed through roles performed Experience of working within UK Financial Services, in either industry, regulatory (for the FSA or other e.g. FOS) or professional services roles Operational experience within a financial services environment Good knowledge of the financial services industry, related risk management regulation and practices. Desirable experience includes: Relevant professional qualification Responsible Lending – including MMR and MCOB requirements Customer remediation projects ad General Insurance regulation The Banking Conduct regime and Product governance

Compliance Analyst

Liverpool

£45,000 - £55,000 + benefits

My client is a very prestigious organisation and a leader in its chosen field. They are looking to recruit an individual to provide Compliance support to the group advisory businesses. The role- Responsibilities: To assist the Compliance Officer with technical compliance implementation including: analysis of areas within the business, regulatory themes and regulatory change from concept to implementation within Group subsidiary businesses in all locations as directed; To take lead responsibility for regulatory quality assurance in relation to the Group advisory businesses, in order to demonstrate they are operating in accordance with regulations; To provide support and expertise to the advisory businesses in relation to suitability of advice, and where required to contribute towards compliance review processes, projects and general business development in this area. To assist with the development and production of high quality, accurate and relevant management information within the Compliance technical and implementation team and the wider compliance function; To act as Compliance adviser on Group projects and Committees as and when required; To develop and deliver training courses to wider group employees on compliance related matters Contribute towards the delivery of a positive compliance culture within the team and wider group. Key Requirements: Diploma in Financial Planning or equivalent Good written and communication skills Previous Compliance experience within Financial Services

Compliance Monitoring Officer

Liverpool

£30,000 - £35,000 + benefits

My client is a very prestigious organisation and a leader in its chosen field. They are looking to recruit an individual to provide monitoring support to the Compliance department. Responsibilities: Key responsibilities will be to provide business monitoring support to the Compliance department and contribute towards the efficient running of the team. The position will complement the service provided by the Compliance Department, and will also provide monitoring support to other businesses across the groups regulated subsidiaries. A willingness to learn new skills and to be involved in a range of projects and duties are important, as well as a willingness to assist senior compliance staff in management and carrying forward multiple projects simultaneously Key Requirements: An awareness of and the ability to review and interpret regulations Computer literate with a good working knowledge of Microsoft Word, Excel, Visio and Access Capable of demonstrating initiative whilst working to fulfil a complex workload and proven ability to meet strict deadlines. Proven accuracy and numeracy skills with experience in report writing Ability to interact at senior levels within the company Hard working with a professional, mature and flexible approach Experience of working within an Investment management business would be preferable but is by no means essential. Salary range is broad and entirely commensurate with skills and experience

FS Advisory Risk and Regulation – Assistant Manager / Manager

Manchester

£32,500 - £50,000 pa

My client offers Global integrated professional services that include Risk and Financial Advisory. Their Regional, Risk and Regulatory group specialise in assisting firms in the development of its governance, risk and compliance arrangements. They provide clients with support and advice in relation to compliance and regulatory arrangements and Enterprise Wide Risk management with a particular focus on Conduct, Operational and Strategic risk. They are looking for an Assistant manager or Manager to support the existing regulatory specialists in this challenging and rapidly expanding business. Key Responsibilities: Delivering high-quality output, advice and assurance to the firm’s clients on a variety of engagements and in line with the agreed deliverables Supporting the firm’s clients in implementing enhancements to its Regulatory and Compliance arrangements taking into account current regulatory requirements and expectations Maintaining, developing and sharing knowledge to ensure high quality delivery to clients Developing and maintaining productive relationships with key stakeholders Identifying opportunities across existing and new clients and managing these accordingly Perform management responsibilities including engagement economics, supervision and coaching of staff Key Requirements: Knowledge of UK regulation and some experience of providing regulatory and compliance assurance service is preferable Experience of developing, implementing and reviewing Compliance and Conduct Risk policies, processes and procedures Knowledge of governance practices and requirements Evidence of operating and interacting at a senior management level Experience of working within the UK Financial Services industry with a financial services firm, regulator or a professional services firm. Ability to develop strong relationships. You will be based in either the Manchester or Leeds office, however travel will be required for client based projects. The firm does encourage careful consideration of agile ways of working, both formal and informal arrangements that allow for the best outcomes for their people and their clients. This is a unique career opportunity in a supportive, challenging and fast-growth environment where you will have the chance to influence and drive your own development plan to help align it to your career aspirations and personal preferences. Salary range is broad and is commensurate with experience and the level you come in at.

Operations Trainer

Chester

Up to £25,000 pa

My client is one of the UK’s leading independent holiday cottage rental providers who pride themselves on offering their customers exceptional experiences! The main purpose of the role is to design, deliver and implement bespoke training programs across operational areas, using different training methods and taking into account different learning styles to engage, motivate and meet the training objective. This is a great opportunity to join a vibrant office and your role will include: Delivery of operational training across the Contact Centre via structured workshops Ensuring all training records and systems are updated accurately and maintained Designing and producing training materials for Workshops and E-learning as part of a continuous improvement process. Update quarterly skills refresher training in conjunction with the E-learning Executive The suitable individual for the role will have: Self-motivated with the ability to work on own initiative and prioritise own workload Successful track record of delivering a wide range of training, including technical, system and soft skills Intermediate level in Microsoft Office: Word, Excel, PowerPoint In return for your commitment and dedication to the business you will receive: A basic salary of up to £25,000 Discounts on holidays booked with the business A great opportunity to work with an established business with lots of opportunities!!

Risk & Compliance Manager (Exclusive appointment)

Leicestershire

£35,000 - £55,000 + Benefits

My client is a well-respected and trusted provider of financial products, including mortgages, savings, insurance and investments. An exciting opportunity currently exists for an individual to become part of this small close-knit team where the main purpose is to complete planned risk and compliance reviews in line with the approved Combined Assurance Plan. Assisting the Chief Risk Officer, you will also support the Risk and Compliance team. Key Responsibilities: Risk: Maintain processes within the business for risk assessment, review of risk incident, analysis of trends and identification of emerging risks Maintain the Risk Registers and assist with associated reporting required by the Risk Committee Assist with the development, implementation and maintenance of the Operational Resilience Oversight Framework Complete required Key Control Reviews to ensure all key controls are operating effectively Complete the required Credit Risk file reviews and ensure an appropriate report is prepared on the findings Carry out Risk Review Activity in accordance with the Combined Assurance Plan Produce reports highlighting review work carried out and any recommendations to improve the systems and controls in operation for the Group Liaise with the Executive Team to ensure that Credit Portfolio Review is produced quarterly Assist with Risk Training for Staff Liaise with Auditors and Regulators regarding Risk Management Framework and activities where required Review Financial Promotions in accordance with the checklist and approve or make recommendations for improvement Follow Product Governance and Approval procedures where relevant Carry out Compliance Review Activity in accordance with the Combined Assurance Plan Assist with regular Compliance Assurance tasks when required Keep up to date with developments in Regulatory and Legal requirements and provide an advisory function to the Group Work as a key member of the team to provide sound and pragmatic interpretation of any regulatory change that may affect the business unit or its different service offerings. Key Requirements: Experience of working within the UK Financial Services industry with a financial services firm, regulator or a professional services firm. Strong verbal and written communication skills Excellent stakeholder management at all levels. Operational Risk experience within financial services Knowledge of FCA / PRA regulation and some experience of providing regulatory and compliance assurance service is preferable Some experience of developing, implementing and reviewing Compliance and Conduct Risk policies, processes and procedures Knowledge of governance practices and requirements Salary range is broad and commensurate with experience but will reflect the significance of the role. They are open to looking at individuals with varying levels of experience. As well as a competitive salary, they offer an excellent benefits package with a fantastic working environment.

Senior Manager, Information Security and Data Protection

Manchester

£70,000 - £80,000 + Benefits

Our client is a leading financial services’ business who are currently recruiting for an individual to take the lead in providing expert advice and the promotion of data protection compliance/ information security and best practice in setting and maintaining standards and procedures across the Group. The role reports to the Chief Risk Officer. Key Responsibilities: Design and implement a Data Protection governance framework with a reporting line to the Chief Risk Officer and the Executive Board. Develop and manage the Group’s Data Protection policies, ensuring procedures and controls are up to date and monitor their implementation. Design and act as SME on a working group made up of relevant business representative to monitor issues, their resolution and delivery of consistent communications relating to Data Protection and information security. Define and arrange delivery of Data Protection and security awareness training for all employees. This includes delivery and accreditation to technical specialists and maintaining awareness of Data Protection developments and changes and disseminate new rules/regulations to staff. Facilitate the identification of Data Protection risks, threats and mitigation. Analyse and report to EXCO member and regulators on types of Data Protection and Information security breaches and investigate their root causes and action plans for resolution. Advise on all elements of processing Data and on the requirements and implications of local Data Protection laws. Act as SME and sign off authority in relation to Data Protection for product and procedural changes and development. Influence and manage the relationship with external regulatory bodies to ensure a strong compliance ethos throughout the organisation. Liaise and work collaboratively with the Financial Crime Officer to ensure the group adopts a unified and consistent approach to the protection of personal data and financial crime. Act as business partner to Technology for IT security related risks. Work with IT security to provide challenge and support for IT security related risks. Provide constructive feedback and challenge to Technology and Continuity, DR and incident management on incident management procedures. Key Requirements: Expert knowledge and understanding of the Data Protection Act 1998, Data Protection Bill and GDPR and its implementation. Awareness of Fraud, AML, CTF and sanction legislation, regulations and guidance. Broad knowledge and understanding of FCA principles and rules applicable to the General Insurance marketplace. Relevant experience in managing a data assurance, risk, compliance/legal or audit function in UK financial services. Strong negotiating and influencing. Confident and articulate verbal and written communication. Extensive cyber security and information security experience. Salary is commensurate with experience but will reflect the significance of the role

Compliance Monitoring Manager

North Yorkshire

£42,000 - £48,000 + benefits

My client is long established, well regarded and provides a wide range of discretionary healthcare services. This is an exciting time to join as the company embarks on its ambitious growth plans. The role: An interesting opportunity has become available for an individual to deliver pragmatic and non-judgemental compliance monitoring to provide the board with assurance that the business is meeting its legal and regulatory obligations and where issues are identified, ensuring that they are remediated in a timely manner. Responsibilities: Contribute to the creation and development of the compliance monitoring strategy and plan Have responsibility for the delivery of the compliance monitoring activities as set out on the Governance, Risk and Compliance Plan. Manage and develop a small team of monitoring officers; sharing best practice and encouraging objective challenge. Contribution to incident management by capture breaches (policy, process and regulatory) and immediately escalating anything material Responsible for liaising with the business to create a culture of continuous process improvement through the provision of robust management information and following up on agreed remediation actions. Support the Head of Risk and Compliance in delivering the overall Risk & Compliance objectives. Key Requirements: Minimum of 5 years’ experience working in the compliance environment of a FCA regulated insurance and/or financial services business. Understanding of FCA and PRA principles, rules and best practice with a proactive professional and productive approach Ability to communicate complex matters in a way which is tailored to the relevant audience Experience of understanding and developing Compliance Monitoring Methodologies Salary is commensurate with experience but will reflect the significance of the role.

Compliance & T&C Supervisor

Manchester

c.£32,500 - £38,000 + benefits

Our client is a well-respected financial services organisation looking for an individual who will report to the Head of Compliance and Risk and undertake this broad yet rewarding role working as part of a small but dedicated team. The role: To maintain and embed the groups T&C scheme taking responsibility for ensuring that all aspects of the scheme are adhered to To record and monitor new business submitted by Appointed Representative firms To be responsible for the recording and checking of all Financial promotions and for the handling and monitoring of complaints. Key Accountabilities- To continuously review the requirements of the T&C scheme and proactively identify opportunities to develop it further To conduct T&C visits across all product areas, determining the suitability of the advice given and highlighting areas for development To act as a referral point for complex files or sensitive issues To identify common themes and risks across the business in terms of development areas or knowledge gaps To facilitate and deliver T&C training for Appointed Representatives and staff To educate the client facing staff in the business on the benefits of a robust T&C Scheme To develop strong working relationships with relevant stakeholders across the business and any relevant third parties To carry out any other duties related to T&C as may reasonably be required To carry out due diligence, compliance checks and for training etc for members To have delegated authority to ensure that the Money Laundering Regulations are complied with and that office staff and advisers receive appropriate training at appropriate intervals. To monitor all promotional material as defined in the FCA rules and to be responsible for the maintenance and revision as required of the Disclosure documents of the Appointed Representative Companies. To administer and record and handle all complaints. To assist in the running of induction courses and other training courses To monitor and report where necessary changes made to the FCA handbook or guidance given by the FCA To review and update the Compliance manual as required To identify any material risks that occurs in the compliance function. These should be entered onto the Risk Database and appropriately monitored and reviewed Key Requirements: An experienced financial services professional Previous T&C experience Experience with working with IFAs The role will be a mixture of office and field based work CII / PFS qualification, ideally QCA Level 4 Diploma– Essential Certificate in Mortgage Advice or equivalent – Essential Supervisory qualifications such as H15, J07 or AF6 are desirable Excellent, proven interpersonal, verbal and written communication skills Salary is entirely commensurate with experience but will reflect the significance of the role

Compliance Officer

Leeds

N/A

My client is part of an international financial services organisation that provides a variety of cash loans as well as other financial products. They are currently seeking a compliance officer who will support the Compliance Policy and Advice Manager undertake a broad range of responsibilities to include; Responsibilities; Review and sign off the following in a timely fashion and in adherence to the sign off process: Financial promotions in a timely fashion; Customer communications; and Training material Attend meetings and provide advice on allocated new and on-going projects, providing compliance guidance where required Provide ongoing advice and guidance on day to day BAU issues relating to FCA, CCA, CMA and CRA matters. Working with the wider business to administer and maintain the following key control documents that are owned by the compliance team: Policy register; Legal and regulatory communications registers; Complaints assessment summary sheet; and Data protection asset register. Undertake daily review of ‘commandments’ and report as appropriate to key stakeholders. Ensuring adequate records are maintained for all activities carried out. Collating data required to complete regulatory and internal reports as and when required. Model and ensure the day-to-day delivery of the six defined fair customer outcomes across all business functions. Maintain awareness of and ensure compliance with policies and procedures across all business functions. Key Requirements: Suitable skills and knowledge demonstrated through similar previous experience within a financial service regulated environment Knowledge and Experience of the UK regulatory regime and rules applicable to the Consumer Finance sector (CONC) (Desirable) Knowledge and experience of implementing ICO and GDPR requirements and rules Strong literacy and numeracy skills and strong skills in use of Microsoft Word, Excel and Powerpoint Strong communication, organisational and prioritisation skills

Head of Compliance – Private Bank

London

£120,000-£150,000 basic salary + package

Our client is a long established and highly regarded UK Private Bank and an exceptional opportunity exists for an individual to formulate, execute and document the Company’s Compliance strategy, manage and lead the compliance team, provide appropriate assurance to the Board and Management as to compliance with appropriate regulation and legislation. The role is a Senior Manager under the SMCR, and you are subject to both the PRA / FCA Individual, and Senior Manager Conduct rules. The Role To formulate and document the Company’s compliance strategy based on government legislation and the regulators rules and guidance on best practice. To develop and implement appropriate controls and monitoring in the context of the business model to ensure that the firms meets its statutory and regulatory obligations As Data Protection Officer, to take the lead in providing expert advice and the promotion of data protection compliance and best practice in setting and maintaining standards and procedures across the firm. To work with all areas of the business to embed the culture of good compliance practice and in particular treating customers fairly. Ensure the timely provision of reporting and management information Responsibility for the Compliance Advisory and Monitoring teams (different locations) Provide assurance to the Executive Committee that the team is able to produce and deliver effective plans and programmes in relation to all compliance areas Attendance at the Board Risk, Compliance and Legal Committee Key Requirements You will have operated as Head of Compliance ideally in a Private Banking or Wealth management environment Strong familiarity with the regulatory environment, particularly PRA/FCA Excellent people management skills. Ability to motivate/inspire the team and its members to perform and add value to the broader business Confident and comfortable communicating with teams and individuals across all hierarchical levels Strong Commercial focus

IT Audit Manager

Berkshire

c£70,000 plus benefits

Our client is an award-winning banking and financial services business going through a period of rapid growth and change. Group Internal Audit plays a key role in ensuring that the governance and internal control environment keeps pace and as a result they require an IT Audit Manager Reporting to the Head of Audit with a focus on IT Audits, key responsibilities include • Develop an understanding of the business and future changes and perform a risk assessment to produce audits for inclusion in the audit plan. • Ensure the audit strategy provides assurance over new and emerging risks. • Execution and delivery of audits in line with audit methodology and IIA standards and budget • Produce IA reports which are impactful, balanced and address the root cause of issues. Ensure recommendations are commercial and address the on-going sustainability of the control environment. • Ensure recommendations are followed up to closure and drive timely issue resolution and sustainability of implemented controls. • Develop and maintain credibility with key business stakeholders from team leader to director level. • Stay abreast of internal change strategy and external audit best practice, particularly areas of regulatory focus. • With the agreement of the Head of Audit and IA Director perform risk advisory projects to support the business with high impact change initiatives. Being a qualified IT Auditor, you will have an in-depth knowledge of IT Audits and looking to progress your career in a growing organisation. With the ability to work under your own initiative and as part of a team you will have excellent interpersonal and presentation skills.

Financial Accountant

East Midlands

c.£40,000 + Benefits

Merje are pleased to be partnering with an independent, financial services organisation based in East Midlands. Our client is looking for a technically strong Financial Accountant to join the team on a permanent basis. This is a great opportunity for a Newly Qualified/Qualified Accountant with prior regulatory experience to build an exciting career within Banking/ Financial Services. The role: The Financial Accountant will assist the Finance Dire