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

Financial Controller (9 month maternity cover)

London

£55,000 - £60,000

A fantastic, commercial opportunity to join a growing design business in London as the lead finance person to cover while the current FC is on maternity leave. The Client: A creative design business that delivers high concept art and interior features for commercial and residential spaces. The role: The role will involve overseeing the month end accounting process (supported by a bookkeeper), creating and monitoring project budgets, reviewing project margins and looking at efficiency of design time. You will also create and process invoices and look after credit control. The business would like your input into growth and exit strategy, streamlining costs and looking at investment opportunities. You will have responsibility for company forecasts and will analyse the monthly accounts with the directors. Key Requirements: Fully qualified ACA/ACCA/CIMA Experience in an SME environment Strong IT skills

Contentious Valuations Assistant Director

London

£75,000 - £90,000

A leading consulting firm is looking to hire an Assistant Director in its Valuations team focusing on contentious valuations work. The role: Managing major contentious valuation assignments Working on cases from initial client meetings through to delivery of Expert Reports for the Court / Tribunal and assistance in preparing the named Expert and legal team for trial / hearing Developing target client relationships in order to further develop the Contentious Valuation business and their career 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 Previous experience: Experience of working on contentious matters, i.e. preparing reports for service at Court and/or an Arbitral Tribunal Strong experience of preparing valuations either for commercial or contentious matters. Exceptional analytical and oral and written communication skills with a strong attention for detail Ability to take complicated analysis and to present and communicate it in a concise and clear manner Client focus, with ability to work quickly and establish effective working relationships Logical and methodical approach to problem solving Project management and organisational skills Appetite to be involved in business development activities

Operational Risk Manager – Framework & Reporting

London

£55,000

My client, a leading Payments Solutions provider, is currently searching for an Operational Risk professional to join on a 12 Month Fixed Term Contract. Reporting to the CRO you will Support the design, implementation and maintenance of the risk framework methodology, risk reporting, policies and process documentation; Provide advice, guidance and oversight across all level of the organisation; Build and develop strong partnerships within the CRO structure and wider internal/external stakeholders. Key Responsibilities Framework Development Maintain and update the Risk Framework methodology and process documentation in-line with current industry best practice and future regulatory requirements including; risk and control assessment, incident management, KRI’s, risk appetite etc. Conduct annual and ad-hoc framework benchmarking activities against wider financial service industries and use test conformance to new regulatory requirements and develop framework improvement plans where gaps are identified Maintain and update the Board risk appetite statement Policy Management Maintain and update policies in line with current industry best practice and future regulatory requirements. Maintain central register of all company policies including details of policy owners, sponsors, and annual review dates. Risk Reporting Continue to develop and enhance the existing risk reporting suite of internal and external reports to meet the needs of both the business and regulatory requirements, driving automation and self-service where possible/appropriate Facilitate and coordinate the reporting lifecycle process for the internal and external committees and boards. Provide oversight and maintenance of the Group Risk Management reporting suite to ensure data quality is maintained and exceptions actioned. Key Skills & Experience Required# 5+ years relevant risk management experience, preferably within a financial services environment Experience developing risk frameworks including methodology, tools and policy. Gravitas and business acumen with a proven ability to be able to influence across the company from technical specialists to senior management. A self-starter – proactive, self-motivated and delivery orientated individual able to work on own initiative with limited supervision and guidance. Relevant risk management qualifications e.g. IRM etc.

Compliance & Risk Adviser

Lincolnshire

c.£25,000 - £30,000 + Benefits

Our client is a leading financial services business who are looking to recruit a Compliance & Risk Adviser. The role will be working closely with the Head of Compliance in maintaining the department risk register and indicent management. This Client does not provide sponsorship. The role- Support the Head of Compliance & Risk with the updating and maintenance of the department risk registers, identifying any emerging risks for escalation or committee reporting Manage the incident reporting process ensuring that the Head of Compliance & Risk and wider business are aware of regulatory breaches and helping resolve incidents Reviewing suspicions raised from referencing and legal and claims, undertaking in-depth investigations on information provided, with detailed outcomes and actions communicated back to the relevant departments. Where necessary, handling the reporting of the suspicious activity to external agencies Respond to all data protection requests and complaitns in accordance with ICO guidelines Taking responsibility for the sanctions checking procedures ensuring the business’ regulatory obligations are met and can be evidenced Assisting the Senior Compliance Officer in delivering the compliance plan through support for check the checker monitoring Help maintain a strong assurance culture and to follow appropriate procedures to monitor and control risk. Key Requirements- Minimum of 2 years experience working within a FCA regulated environment Demonstratable knowledge of risk management, including indentification of risks, mitigation controls and scoring methodologies. A’Level or equivalent standard of education

Senior Regulatory Development Manager – Investment Manager & Financial Planning

Liverpool

£70,000 - £90,000

Opportunity to join an award-winning firm which provides financial planning, investment management and investment advisory services to private clients. The purpose of the role is to monitor the regulatory change horizon, providing information to senior management and the wider business, through analysing proposed regulatory changes and their relevance to and impact on the company. This is a key role and will include providing highly technical guidance and support to the business in a clear and concise manner. You will also represent compliance and regulatory viewpoints on projects and wider business initiatives and, where appropriate, on industry forums. Responsibilities: Develop a thorough approach to horizon scanning which ensures coverage of all relevant regulatory publications and websites. Monitor and report on relevant regulatory developments identified from scanning activities affecting the business including: FCA Handbook Developments discussion papers thematic reviews guidance papers consultation papers policy statements Produce regulatory development updates, in various formats, as required, for the Risk & Compliance team, the wider business, senior management and specific business lines. Provide specialist compliance input, advice, support and rules interpretation to both line and project managers on projects and business developments in order that they meet regulatory requirements. Ensure that the wider Risk & Compliance team is provided with an in-depth analysis of the FCA’s annual Business Plan to ensure all relevant issues are captured in the annual Compliance plan. Represent Compliance at project team meetings and at other forums, including external forums where relevant. Requirements: 4-6 years’ experience gained working in regulatory advisory or policy compliance role within the wealth/investment management or financial planning sector. Must be able to demonstrate significant technical experience of delivering wide-ranging regulatory guidance and solutions in a commercial environment in a medium to large wealth management organisation. Excellent drafting, written and verbal communication skills. Ideally, exposure to and understanding of FCA systems such as GABRIEL and processes related to FCA returns, permissions and approved person applications. Up to date knowledge of relevant regulatory rules and guidance within the FCA Handbook, particularly COBS, SYSC, CASS sections as well as GENPRU, IFPRU and BIPRU changes. Able to demonstrate significant experience in interpreting, understanding and applying the FCA rules to achieve business focused and commercial outcomes. Ability to influence at all levels and build rapport. Ability to sell difficult messages to all levels within the organisation and with the necessary persistence to follow it through and market regulatory change in a positive way.

Financial Crime Manager

Leeds

Circa £60,000 - £65,000

The role will be responsible for overseeing the Financial Crime team in order to identify and minimise the business units exposure to Financial Crime and Fraud. The Client: Our client is a growing and well established financial services’ business. This Client does not provide sponsorship. The role- Plan, direct and manage the activities of the Consumer Finance financial crime team in order to identify and minimise the business unit’s exposure to financial crime including Fraud, Money Laundering and Terrorist Financing. Provide on-going expert advice and support to senior stakeholders across the business in agreeing any required changes to strategy, policy, processes and/or procedures as a result of changes to financial crime-related regulation and to be the primary 1st line SME providing advisory support to regulatory projects in their business unit. Support the Head of Risk to ensure that senior leadership are appraised of material issues and developments including any potentially material breaches, losses, trends or incidents that may require onward notification to departmental and group committees. Oversee the financial crime team Assess how new regualations or threats may impact the business and ensure the team adapt accordingly Key Requirements- · Demonstratable experience of leading and managing 1stLOD Financial Crime teams · Financial services’ experience · Strong knowledge of Financial Crime and Fraud

Senior Fraud Analyst

East Midlands

£45,000 - £50,000 k

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

Senior Risk Officer

Leeds

c.£40,000 + Benefits

Our client is a growing and well established financial services business. The role of Senior Risk Officer will report to the Head of Risk & Compliance (HRC) and will be responsible for assisting in the identification and mitigation of emerging and current risks through proportionate risk controls and oversight and provide any general or technical risk support and guidance as required This Client does not provide sponsorship. The role- · Maintain a detailed knowledge of relevant external risk management practices and requirements, championing best practice to assist the Business to effectively manage and mitigate risk · Provide clear, pragmatic and proportionate guidance on the interpretation and application of risk management requirements and developments · Act as a principal point of contact on risk management queries for all colleagues, assisting the education process of a robust framework across the business · Develop and implement risk management procedures throughout the Business to promote robust controls and mitigation (focused on good customer outcomes) · Identify and help mitigate risks and issues affecting the Business, recommending actions to mitigate the risks. Ensure more complex risk issues are escalated to the HRC · Support the HRC in the creation and delivery of strategic, proportionate and effective risk profile reports across the business · Support the HRC to deliver an effective and appropriate risk management framework and risk profiles, including the monitoring of CEO owned risk mitigation plans. · Provide proactive risk management advice across the business, proactively identifying emerging risks and supporting management to identify and undertake appropriate actions; · Supporting the business to identify and manage breaches and/or incidents and assist the introduction of mitigation controls to prevent reoccurrence · Monitor the respective business risk profiles, providing support to ensure the CEO owned plans are effectively implemented Key Requirements- · Proven experience in risk management within Financial Services · Strong technical risk knowledge and the ability to implement a risk management framework · Strong knowledge of risk management and conduct risk · Ability to anticipate issues, identify solutions and provide clear guidance

Head of Regulatory Risk - Fixed Term Contract till March 2019 (Exclusive)

Manchester

£125,000 - £140,000 + benefits

Our client is a long standing and well-respected General Insurance firm. The successful candidate will assume the role of SMF16 / SMF17 and lead and develop the Regulatory Risk unit to provide an effective control framework including systems and processes to ensure that current and future exposure to regulatory risk is identified, measured, managed, and mitigated or eliminated, and that there is a focus on treating customers fairly and delivering appropriate customer outcomes. The role Lead and develop the Regulatory Risk unit to provide an effective control framework Hold the MLRO role and oversee Fraud Risk Lead and oversee the assurance for the continuing embedding of regulatory frameworks and delivery of ongoing monitoring to maintain compliance (e.g. TCF); Identify and escalate risk exposures to Risk Owners, Directors and business management on a timely basis and monitor that action plans are in place to address the risk; As a member of the Senior Management Team, contribute risk input to the strategic plan; Lead, motivate and develop the team within the Regulatory Risk unit to ensure an effective working environment, employee commitment and consistently high performance; Oversee and challenge the setting of Regulatory Risk Appetite and Policy with the appropriate committee as defined in the Risk Management Policy, outlining the rules and limits by which the business will operate; Ensure that Regulatory Risk is managed in line with risk appetite and policy and evidenced through appropriate MI and reporting demonstrating that this approach is robust; Establish an independent and adequately resourced Regulatory Risk function with sufficient authority to allow it to meet its responsibilities effectively; Lead, advocate and role model the risk management framework and positively contribute to the embedding of a risk-based culture, coach, influencing and challenging all colleagues to take personal accountability for risk-based decision making. Influence and challenge business direction and strategy by providing timely regulatory and statutory requirements including industry best practice and competitive insights and trends to enable the business to make effective risk-based decisions. Independently challenge and influence Board, Executive, peers and colleagues in relation to risk management; and Oversee and engage with the product design and approval process and provide review and challenge to new and existing product development and compliance. Requirements Substantial knowledge and experience of managing Regulatory Risk Data protection experience In depth understanding of the regulatory environment, preferably in the UK General Insurance sector. In depth, up to date knowledge of internal and external TCF developments and practices. Motivates, inspires the team and its members to perform and add value to the team and to the broader firm Confident and comfortable communicating with teams and individuals across all hierarchical levels. Significant TCF experience and ability to translate complex regulation into practical policies and advice. They are looking to appoint someone on a Fixed Term basis until at least March 2019. Salary will be commensurate with experience but will reflect the significance of the role. They are looking to make an immediate appointment ideally within the next 4 weeks, so the ideal candidate will be readily or almost readily available.

Compliance Monitoring Officer

East Midlands

c. £30,000 - £35,000 + Benefits

The Client: Our client is a leading financial services business who are well respected in their market. An exciting opportunity has arisen to join the firms Compliance function. The role of Compliance Monitoring Officer will be responsible for ensuring that all required business reviews are carried out in line with the compliance plan, ensuring that a risk based model is followed to assess business adherence to regulatory and legal requirements. This Client does not provide sponsorship. The role- Key Requirements: Help in the delivery of risk based monitoring and oversight reviews of the business and first line activities ensuring adherence to regulatory and legal requirements. Carry out conduct risk reporting, providing appropriate challenge to the business and ensuring delivery of dashboard summary to the Senior Compliance Officer and Head of Compliance & Risk Providing support to the business on financial promotions, through review, advice and guidance and final sign off When needed carry out check the checker activities and make sure that any appropriate feedback is being communicated to the business Working with the Senior Compliance Officer to ensure that all necessary Compliance policies are implemented and embedded across the business properly. Providing the Quality Assurance function with support, advice and guidance with application of the criteria and assessment of appeals Other ad hoc duties as requested by the Head of Compliance & Risk to ensure the smooth running of the compliance function.

Modelling Manager

London

£70,000 - £90,000

My client is a big 4 Consultancy currently looking to increase their Financial Services modelling team with Manager & Senior Manager hires. As part of this team you will be responsible for: • Financial forecast and scenario modelling • Transaction modelling such as valuations and option appraisals • Reviewing financial models for quality sign-off • Developing tactical solutions that automate finance and other operations (i.e. remediation) • Development of data models to support modelling and analytics deliverables • Using visualisation and analytical software (such as the Power BI, QlikView and Tableau) to drive insights from data to inform client decisions The Role • Managing projects to support clients in tackling business issues • Applying technical skills to devise compelling and well thought out solutions to complex problems • Contributing to and driving the growth of the modelling team • Building constructive working relationships to develop internal and external networks • You will leverage existing managerial experience and leadership skills to help grow and develop the modelling team • 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 • Anticipates the viewpoint of others, listens and addresses concerns • Builds co-operative relationships and fosters an environment in which everyone’s opinion is valued • Provides on-going feedback, coaching and mentoring that supports individuals development needs and career aspirations • Proactively engages in cross-functional communications and sharing of information. Essential: • Experience managing projects, clients and senior stakeholders • Experience scoping, designing and building financial models in best practice • 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 inter-personal skills in order to build and maintaining strong working relationships • A strong understanding of accounting and financial concepts • Knowledge of financial services products and key concepts Desirable: • A recognised finance or accounting qualification and/or MBA or PhD • Data visualisation experience in Power BI stack, QlikView and Tableau

Senior Regulatory Development Manager – Investment Manager

London

£70,000 - £80,000

Opportunity to join an award-winning firm which provides financial planning, investment management and investment advisory services to private clients. The purpose of the role is to monitor the regulatory change horizon, providing information to senior management and the wider business, through analysing proposed regulatory changes and their relevance to and impact on the company. This is a key role and will include providing highly technical guidance and support to the business in a clear and concise manner. You will also represent compliance and regulatory viewpoints on projects and wider business initiatives and, where appropriate, on industry forums. Responsibilities: Develop a thorough approach to horizon scanning which ensures coverage of all relevant regulatory publications and websites. Monitor and report on relevant regulatory developments identified from scanning activities affecting the business including: FCA Handbook Developments discussion papers thematic reviews guidance papers consultation papers policy statements Produce regulatory development updates, in various formats, as required, for the Risk & Compliance team, the wider business, senior management and specific business lines. Provide specialist compliance input, advice, support and rules interpretation to both line and project managers on projects and business developments in order that they meet regulatory requirements. Ensure that the wider Risk & Compliance team is provided with an in-depth analysis of the FCA’s annual Business Plan to ensure all relevant issues are captured in the annual Compliance plan. Represent Compliance at project team meetings and at other forums, including external forums where relevant. Requirements: 4-6 years’ experience gained working in regulatory advisory or policy compliance role within the wealth/investment management or financial planning sector. Must be able to demonstrate significant technical experience of delivering wide-ranging regulatory guidance and solutions in a commercial environment in a medium to large wealth management organisation. Excellent drafting, written and verbal communication skills. Ideally, exposure to and understanding of FCA systems such as GABRIEL and processes related to FCA returns, permissions and approved person applications. Up to date knowledge of relevant regulatory rules and guidance within the FCA Handbook, particularly COBS, SYSC, CASS sections as well as GENPRU, IFPRU and BIPRU changes. Able to demonstrate significant experience in interpreting, understanding and applying the FCA rules to achieve business focused and commercial outcomes. Ability to influence at all levels and build rapport. Ability to sell difficult messages to all levels within the organisation and with the necessary persistence to follow it through and market regulatory change in a positive way.

Senior Management Accountant

Birmingham

£40,000 - £45,000

I am currently recruiting for a technically strong Senior Management Accountant to join an exciting business going through rapid growth in this newly created role. This is faced paced position will be supporting the Senior Finance Manager; Support Finance Manager in monitoring balance sheet risks and opportunities. Working closely with Commercial and Operational divisions to ensure margin drivers are monitored. Assisting with the review of Operational / Financial process flows to ensure accurate reporting Supporting Finance Manager with Cashflow/Project management and monitoring Corporate deals. Assist with consolidation of bi-monthly and month end Revenue and Margin reporting. Providing month end support to the Margin team, ensuring key reporting deadlines are met. Production of variance analysis on the P&L and Balance Sheet. Provide budgetary / forecasting support where required by the relevant BU FDs. Supplier submission review and monitoring of supplier agreements. The successful candidate will: Qualified CIMA, ACCA, ACA Strong Technical Accounting Strong systems skills, in particular MS Excel Strong interpersonal skills, ability to work closely with operational management If you are looking for a new and exciting opportunity with a strong Management Accounting back ground, please apply by submitting your CV or call for a confidential discussion.

Head of Operational Risk (IT Risk)

Manchester

c.£100k + Car allowance + Bonus + 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

Portfolio Loss Forecasting Manager

Chester

£45,000 - £65,000

A well-established and globally recognised business that focuses on providing an exceptional banking experience for customers. In this role, you will drive and develop the execution of credit and fraud loss forecasting analysis, modelling and reporting. This Client does not provide sponsorship. Key Responsibilities of the Portfolio Loss Forecasting Manager: Lead a team responsible for credit and fraud impairment forecasting Take ownership for forecast integrity through oversight, challenge and documented governance Set the direction for development of credit loss and impairments forecasts Liaise with strategy, modelling and risk teams Drive improvements in and actionable insights from stress testing Ideal knowledge and experience for the Portfolio Loss Forecasting Manager role: Experience with bad debt forecasting and IFRS9 provision modelling, including the interaction between strategy and forecasting Strong attention to detail Experience leading team of analysts Ideally experience in unsecured financial services