Risk Management Jobs

Compliance Monitoring Manager

Leeds

c.£40,000 + Bonus + Benefits

Our client is a well-respected and award winning Financial Services business who are enjoying a period of significant growth. An exciting opportunity has arisen to join the firm’s successful compliance department in the role of Compliance Monitoring Manager. In this role you will be responsible for ensuring that the compliance monitoring plan is effectively developed and delivered within agreed timeframes and that all actions arising from reviews are managed to closure. Key responsibilities include: Assisting the Head of Risk and Compliance in developing and refining a risk-based compliance monitoring plan and continuously evaluating the plan to ensure it remains relevant and fit for purpose, promotes efficiency optimisation and longer-term benefits for the business. Recommending remedial action to mitigate regulatory risk whilst promoting a healthy, strong, compliance culture across the business. Supporting the business with the interpretation of regulation. Managing, coaching, and developing a team of compliance monitoring officers, upskilling their knowledge of internal business processes, enabling them, to conduct more effective reviews, whilst building the team’s reputation as a critical friend. Ensuring that all areas of the business, deliver processes in line with the core principles of privacy, security, resilience, compliance, and quality, with a particular focus on regulatory and contractual compliance, risk reduction and continual process improvement. Responsibility for the execution of the annual compliance monitoring plan through comprehensive reviews. Identifying and informing the business on any future relevant regulatory changes, ensuring they are reflected in the compliance plan and communicate any potential impact on the business. Producing relevant, accurate and timely compliance reporting and management information to executive, governance, and risk committees The ideal Candidate: A minimum of two years’ experience in a compliance manager role within an FCA regulated environment. Management experience of coordinating a team of compliance officers to support the internal compliance program. Detailed knowledge of the FCA Handbook, CCA and CRA, ICO and OFCOM regulations.   Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

Risk & Reporting Manager - Banking

London

£80,000 - £90,000

An international commercial bank focusing on today’s most disruptive innovators is looking to strengthen their Risk and Governance team. The Risk & Reporting Manager will report directly to the Risk Director and will primarily focus on ensuring that there is appropriate review, update and approval of the UK/EMEA policies and Risk Frameworks to ensure they meet business and regulatory expectations. A large part of your day to day will focus on Risk Reporting, ensuring that the logistics of risk reporting are fit for purpose and aligned to the schedules of various Committees and business requirements. Acting as a conduit between the 2nd line and the Committees (Op Risk, Risk, Credit Committee which you will act as the Secretary), you will utilise your reporting and analytics expertise to ensure that the team has prepared the relevant agendas prior to each Committee. You will be an integral part of the team and the first point of contact between the Risk team and the C-Suite and Board, so good stakeholder management and communication skills are paramount. The ideal candidate will: Come from a similar banking background with good experience in the FS Sector Will have excellent stakeholder management and communication skills with the confidence that’s required to ‘’translate’’ Risk across all levels in the business Will have worked in a similar reporting capacity in the past, with good technical knowledge around Risk reporting and analytics tools Some knowledge of Credit Risk is desired but not required as you will act as the Secretary of the Credit Committee initially Location will be London (post-lockdown) and salary will be £80,000 - £90,000 basic

1st Line Risk & Controls Manager

Manchester

£50,000

Financial Services business, located in Manchester, are looking to appoint a Risk and Controls Manager with the roles primary focus being to ensure a robust risk and control framework is in place and to support the business by managing and reporting on incidents, risks, compliance and internal audit recommendations.   Key responsibilities include: Maintain a comprehensive risk register Work closely with Group Risk and Compliance to ensure risk methodology is aligned Lead on incident management to triage, mitigate and report in a timely manner Partner with risk owners to design and maintain effective controls Support commercial teams in maintaining an updated Risk Portal Produce regular reporting at all levels including board to provide assurance over risk/incident management Lead on design of effective controls and testing to ensure risk profile is within tolerance Chair monthly risk forum reporting to ensure upstream reporting is effective at providing assurance Provide regular reports and updates on all outstanding audit actions Candidate requirements: Strong understanding of FCA guidelines and regulatory environment. Experience working within a 1st line risk and control / operational risk position gained within a FCA regulated business. Full understanding of risk management and key risk indicators. Experience of designing control frameworks Ability to develop senior management reporting and present well at this level Strong communication skills with ability to collaborate cross-function 

Compliance Manager

Manchester

£55,000 - £65,000

Financial Services business, located close to Manchester, are looking to appoint a Compliance Manager to lead a small team of compliance executives.  Reporting to the Chief Financial Officer, the role holder will lead all compliance activities for the business, and take responsibility to ensure the Business is compliant with all relevant Regulations whilst minimising risk. The ideal candidate will have a proven track record providing advice, guidance and policy in relation to the FCA’s CONC sourcebook, and have an in depth knowledge of the wider FCA handbook and regulatory framework that underpins the consumer credit industry.  Experience gained within a consumer hire or credit broking firm would also be of great interest. Key responsibilities include: Acting as subject matter expert on Regulatory requirements, including changes and guidance from the FCA, ICO, FOS, CMA, ASA. Responsibility for Regulatory reporting and liaising with the Regulators including FCA, ICO, FOS and trade bodies. This includes GABRIEL/RegData reporting, CONNECT applications and handling any information requests from the Regulators and Authorities. Coordinating and managing Compliance Monitoring programme and reporting results to the Chief Financial Officer and to the Board. Development, implementation and regular reviews of Company Policies, Processes and Procedures: Influencing others to understand the importance of compliance and provide support with training material and feedback to departmental managers that may require compliance support.  Acting as a Money Laundering Reporting Officer and complying with all statutory requirements applicable to this role. Acting as the Data Protection Officer and complying with all statutory requirements applicable to this role; monitoring compliance with GDPR and other data protection Regulations, our data protection policies, awareness-raising, training, and audits. Regular reviews of Company’s website and financial promotions (as part of the Company’s compliance monitoring programme) to ensure compliance with regulatory obligations and requirements. Identifying and managing Regulatory, Governance, Conduct, Data Security, Financial Crime and other risks and ensuring the Risk Management framework remains up to date, including the incident management framework and sign-off of remedial actions. Preparing FCA regulatory and Compliance related internal reports. Monitoring changes in Regulatory guidance regarding financial/marketing promotions, working closely with other departments to ensure the business remains compliant. Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.