Risk Management Jobs

Financial Crime Manager

London

£50,000 - £55,000

Financial Crime Advisory professional required for an innovative and dynamic Corporate Bank based in London As part of the second line Financial Crime Advisory team, you will focus: Creating, developing and implementing Financial Crime Policies & Procedures in line with the Financial Crime Risk Assessment Framework Advising the business on ad-hoc Financial Crime related matters Work closely with the new product team to advise them on the Financial Crime risk associated with the product/client base Requirements: Creating, developing and implementing Financial Crime Policies & Procedures in line with the Financial Crime Risk Assessment Framework Advising the business on ad-hoc Financial Crime related matters Work closely with the new product team to advise them on the Financial Crime risk associated with the product/client base If you are interested in this Financial Crime Advisory opportunity and would like to apply or would like further information, please submit your CV. Alternatively, call Pritesh Chudasama on 0203 637 1607 for a confidential conversation. Please note, should feedback not be received within 28 days due to the large volume of applications; unfortunately, your application has been unsuccessful. However, I may be in touch with similar relevant opportunities in the future.

Financial Crime Manager

London

£70,000 - £75,000

Financial Crime Manager professional required for an innovative and dynamic Corporate Bank based in London As a Financial Crime Manager, part of the second line Financial Crime Advisory team, you will focus on: Creating, developing and implementing Financial Crime Policies & Procedures in line with the Financial Crime Risk Assessment Framework Assisting with the day to day management of the team Work closely with senior stakeholders across the organisation on various Financial Crime related queries Advising the business on Financial Crime related matters, specifically, new product approvals Work closely with the new product team to advise them on the Financial Crime risk associated with the product/client base Financial Crime Manager requirements: Current or recent second line of defence experience within Financial Crime An understanding of Fintech businesses and the Financial Crime risks presented when conducting business with them Understanding of key Financial Crime regulations/industry knowledge such as 5th Money Laundering Directive and JMLSG Excellent communication skills Stakeholder management skills Corporate or Wholesale Banking experience.

Head of Compliance (Exclusive appointment)

Cheshire East

to £65,000 + bonus + ben

Head of Compliance (Exclusive appointment) The Client- With operations in UK and Europe, my client is a fast-paced and ambitious business which is long established and a leader in its chosen field. The role- Reporting directly to the Group CEO, this high profile role is critical to the future success of the business. With Regulatory oversight of their products being passed across to the Financial Conduct Authority, this is a very exciting time for a new Compliance Head to join the group to drive change in the organisation to prepare for the new regulatory environment, enhance the customer experience and also support expansion into new products and channels. The successful candidate will join a senior management team that supports and sponsors a strong compliance culture. You will be responsible for all aspects of sales and business compliance and will work closely with senior management to ensure creation, implementation and monitoring of robust policies and procedures. Key responsibilities During the consultation period with the FCA, build relationships and act as the interface to provide industry and company level expertise. After regulation maintain relationships and providing notifications, routine reports changes to permissions and responses to ad-hoc enquiries As they move to FCA regulation, interpret regulations and develop appropriate policies, frameworks and controls for all areas of the business. Provide technical advice and guidance to directors, senior management and all business areas, covering all elements of the FCA Handbook Routinely review compliance operations and procedures to ensure these are efficient, customer focused and fit for purpose Monitor, regularly review and if necessary, update sales force compliance framework and controls for direct sales, third party distribution partners and telesales. Manage and regularly review business compliance policies, frameworks and controls, including PCI/DSS, data protection, TPS and direct marketing and anti-bribery compliance Manage sign-off for customer communication and collateral Own complaints monitoring, reporting and controls Manage the QA monitoring and reporting across the business to drive improvements and ensure expected standards are met Create and embed a culture of learning and feedback to ensure continuous improvement and support improvements in customer experience and business growth. Own and manage Group risk register and manage the risk management framework and controls across the business (UK and Europe) Keep up to date with all aspects of compliance and risk relating to the industry they operate in and relevant business compliance Ensure the provision of good quality Management Information and reporting to the Senior Management Team and Board together with recommended solutions for issues identified Manage a team of 3 Participate as a member of the Senior Management Team Key Requirements- Significant and recent experience of working in a senior compliance role in an FCA regulated environment (ideally insurance related). Past success in implementing and/or managing compliance in a direct salesforce and/or third party salesforce Self-starter, hands on and highly motivated individual. Ability to see big picture and also delve into the detail. Excellent communication skills and the ability to influence key stakeholders. Strong teamwork with constructive challenge and contribution Proven track record of delivering operational change and improving standards Capable of interpreting and delivering operational and strategic advice on regulatory developments processes and standards Will suit an individual who enjoys ‘making a difference’ and is tenacious in knocking down barriers to achieving success Salary is commensurate with experience but will reflect the significance of the role. The role will also benefit from the potential of a bonus arrangement. MERJE have been appointed exclusively on the role and any CVS sent direct to the client will be forwarded through to MERJE for consideration. Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

Business Continuity Manager

York

£60,000 + Benefits

Business Continuity Manager Our client is a well-known Financial Services company who are currently looking to recruit a Business Continuity. You will be responsible for Implementing and maintaining the Business Continuity Management framework, ensuring that the appropriate tools are in place and that all participants are aware of their obligations relating to Business Continuity Management. Key responsibilities include: Ensuring comprehensive Business Continuity Plans, Process and Procedures are in place, based on the requirements of the Business Continuity Framework and Policy and considering regulatory and contractual requirements Facilitating an annual refresh of the Business Impact Analysis (BIA) across the business and analysing this information to ensure that recovery plans are adequate Liaising with the IT teams to ensure Disaster Recovery and Business Continuity plans take account of Information security requirements Coordinate the business’ Corporate Business Continuity and DR testing Lead the business’ engagement and participation in the infrastructure provider’s annual business crisis scenario testing Implement, embed and maintain crisis management processes, including communications cascades Develop and implement the controls and processes necessary to support the monitoring and analysis of supplier performance The Person: A proactive approach with the ability to generate new ideas Ability to manage workload with competing priorities and frequent interruptions that require urgent attention Ability to analyse the root causes of issues, quickly understand, interpret and clearly explain complex matters Qualifications/Key Skills: Degree in relevant discipline Industry certification and experience (CBCP certification or similar desirable, ISO 22301, etc.) Business Continuity coverage experience in a Financial Services, Technology or Service Provider industry Solid foundation in Operational Risk Management with exposure to Operational Assurance, Business Continuity and Supplier Management General awareness of Business Continuity and Supplier Management standards Developed interpersonal and collaborative skills with the ability to communicate risk focused Business Continuity and Supplier Management related concepts to both technical and non-technical audiences Excellent interpersonal skills to deal with challenging situations and relationships with key stakeholders Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

IT Governance Manager (FTC for 12 Months)

Manchester

to £65,000 + benefits

I am currently working on behalf of a very progressive and entrepreneurially led Insurance group who are looking for an individual to be responsible for the implementation of a proportionate, risk based IT governance framework across the group in order to successfully reduce risk, in line with appropriate risk parameters agreed with business. Reporting to the Head of Information Security & IT Governance, they are initially recruiting this role on a fixed term contract for 12 months but with a realistic potential that the role will become permanent. Key responsibilities include: Develop, construct and implement an IT Governance framework to work closely across the Group to improve overall maturity in respective disciplines. As required act as a subject matter expert utilising external specialists as required. In line with Business Strategy develop and continuously maintain a strategic outlook across the Group, including risk management approaches, frameworks and technologies. Develop and maintain an appropriate IT Governance framework, including relevant documentation. Be responsible for and oversee PCI-DSS compliance across the business. Collaborate with the organization's IT leaders, InfoSec, DPO, HR, and Risk to ensure full legal compliance of company's privacy and data protection policies, procedures and notices. Serves as the SME for best practice in the execution and delivery of IT Risk Management. Advise and contribute to the design and implementation of an appropriate first line IT Policies, controls and frameworks. Performing risk assessments for projects, processes, software and infrastructure as required. Ensure compliance with company and other relevant standards/regulations at all times. Raise awareness across the Group regarding IT Risk Management best practice and its developments, working with management to ensure the Group companies are adequately protected. Provide metrics and reporting as required. Responsibility for maintaining department risk registers (as applicable), providing evidence and commentary for controls, updates for Mitigation Actions and escalation as required. The Person Strong and demonstrable experience of implementing IT Risk Management Frameworks. A good appreciation of security, compliance and business continuity standards such as ISO27001, ISO 31000 and PCI DSS. Excellent hands-on technical knowledge. Knowledge and experience of network technologies, and security tools such as vulnerability scanning and remote access technologies. Experience and knowledge of Data Protection Excellent communication and interpersonal skills, both verbal and written. Strong analytical and problem solving skills. Self-motivated and enthusiastic with the desire to meet or exceed targets. Salary is entirely commensurate with experience but will reflect the significance of the role 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 & Compliance Director (EXCLUSIVE ASSIGNMENT)

Manchester

£85,000 - £100,000 + extensive benefits + bonus

I am currently working on behalf of a very exciting organisation who bring a diverse range of financial services together to provide support to businesses looking to expand and as their funding requirements change. Entrepreneurially led and with significant plans to grow organically and through acquisition, they are currently looking to recruit a Risk & Compliance Director to act as an ambassador for the Groups compliance culture and standards, demonstrating the highest standards of compliance behaviour and to raise awareness of regulatory requirements and compliance policies. Providing an advisory role for regulatory aspects across the whole group, you will be responsible for ensuring best practice and adherence to the groups compliance and risk regulatory policies and procedures. Key responsibilities include: Risk management To set a risk and compliance framework for the Group in line with the ethics, principles and culture. To take overall responsibility for the advice, management and development of the groups risk and compliance systems Group wide. To advise the Management Board in the implementation of risk and compliance matters across the Group. To provide risk and compliance board reports for the group companies identifying risk and compliance issues - to include AML, Data Protection, GDPR and Cyber Security. To manage the Risk & Compliance team and provide leadership and supervision to them and their work. To be the designated and registered FCA Money Laundering Reporting Officer, FCA Compliance oversight, DPCO and Risk Manager. To ensure the completion of regulatory returns and be the key relationship contact for the FCA and Information Commissioners Office. To participate in the development of the Groups companies risk assessment system and to monitor and ensure the robust management of each individual high risk issue notified under that system. To take robust appropriate action ensuring the effective management of risk within all business lines – including chairing the Group Risk & Governance meetings. To investigate all breaches and near breaches of all regulations and statutes covering the group and report as required. Provide guidance and recommendations on corrective actions or risk mitigation strategies in order to remediate non-compliant situations to Senior Management and the executive. Ensure risk and compliance training is delivered effectively to all staff. Develop and maintain regulatory awareness amongst all staff. Maintain an up to date high level of knowledge and understanding of UK regulations, including the FCA Handbook, money laundering regulations, JMLSG Guidance Notes, Sanctions, Treating Customers Fairly and their implications upon the business activities of the group. Financial Conduct Authority Monitor adherence to policies and report on FCA compliance activities Work with the individual company Risk and Compliance teams to implement FCA regulatory requirements into the firm's compliance programme within its FCA Part IV Permissions. Oversee and monitor the implementation of a cohesive Compliance Monitoring Programme (“CMP”). Carry out risk assessments of business activities for inclusion in the CMP, escalating breaches and risks and ensuring remedial actions are taken. Periodically revise and update the CMP in light of changes in the business activities of the group and FCA regulation. Pro-actively share CMP findings with colleagues to ensure policies, training and support addresses any shortcomings. Structure and oversee independent reviews to evaluate emerging regulatory risks and control weaknesses identified in compliance activities. Carry out the final review and sign off if required, of FCA financial promotions and record compliance approval.Liaise with the appropriate group business directors to manage consumer complaints in relation to FCA activities and in accordance with FCA regulatory requirements and in-house procedures. The Person: Extensive experience operating in a senior compliance role in an FCA regulated environment. Has been previously and will become the SMF 16/17 for the Group companies Ability to build supportive relationships within the different group companies. Makes commercial business decisions and is resilient in the face of resistance. Judgement to balance commercial and compliance risks to achieve positive outcomes. Provides strong leadership, mentoring and coaching within the team to develop skills and expertise. Proven “people skills” in terms of recruiting, appraising, developing and motivating staff. Excellent communication both written and verbal. Salary range is broad and entirely commensurate with experience but will reflect the importance of the role. Benefits are significant and will also include a lucrative bonus potential which will dependent on individual and company success. MERJE has been appointed exclusively on this role and any CVS sent direct to the client will be forwarded through to MERJE for consideration Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

Regulatory Adviser

Manchester

50000

Regulatory Adviser The role will act as a key point of contact for the Regulatory Advice team, and work closely with the wider Risk & Compliance function. The role holder will perform risk based monitoring within all areas of the business to ensure adherence to business, legal and regulatory standards and to carry out monitoring activity to help mitigate against risks as identified by the Group Risk Management Committee. Key responsibilities include: To create the risk based monitoring programme, to implement and deliver this programme to the required processes and standards within the Regulatory team, monitoring techniques will include field (on-site) and desk based. To track, collate and communicate the risk based monitoring programme results to Managers and Staff within the business. To have a responsibility for conducting monitoring on non-advice areas; such as investment, operations, finance and HR. To work closely with the Risk Department to ensure results of monitoring are incorporated into the Risk Framework. To ensure that Remedial Actions arising from monitoring activity are completed, any training needs identified, Action Plans implemented and followed through by Managers and procedures or systems are changed to prevent re-occurrence. To ensure understanding of the business regulatory standards and controls by Managers and staff both across the Private Wealth and Corporate functions of the business to identify risk. To operate L&R policies and procedures as defined. To maintain and operate effective risk based monitoring procedures, processes and tools. To carry out and implement business projects and engage in liaison with external bodies including third party suppliers and other professional bodies engaged to work with the business. The Person: Ideally Investment Compliance Diploma (minimum Investment Operations Certificate) or requisite knowledge and experience in the Financial Services Industry Good understanding of retail investment products, FCA regulated financial services firms and Discretionary Fund Management A comprehensive working knowledge of the Financial Services and Markets Act, FCA Handbook, Principles for Business Ability to extract and identify issues of potential risk 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.

Pensions Technician

Manchester

£40,000 + Benefits

Pensions Technician The role is to provide professional support and assistance to the Pension Transfer Specialists (PTS) and client service process. You will liaise between the Pension Transfer Specialist and the Paraplanning team and sales support team. Key responsibilities include: Keep up to date with training and supervision requirements according to their competence as set out in the T&C Scheme. Act with integrity and professionalism; paying regard to the interests of our customers (treating them fairly); and being open and co-operative. Gather information on the telephone from clients and from 3rd parties including insurance companies and scheme administrators. Complete client fact finds and support the PTS in client fact finding Monitor expiry dates and prioritise work. Provide weekly reports to the PTS Supervisor relating to output, and other Management Information as required. Conduct research and analysis of financial products to meet client requirements Managing the presentation of technical data to the PTS Keep up to date with FCA related and other regulatory issues including any changes to the FCA rules The Person: QCA Level 4 qualified. Working towards AF7 and at least 2 year’s industry experience. The role would suit somebody who wishes to progress to an adviser role. Must keep up to date with products and services available in the market in order to assist Advisers with research. 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.

Data Protection Advisor

Leeds

£45,000 + Excellent Benefits

Data Protection Advisor Our client is a well-known Financial Services business who are currently looking to recruit an individual to support the UK Data Protection Officer (DPO) to maintain a secure framework for the management of its data and complying with data protection legislation. You are also required to provide specialist support to the business units and central functions to maintain compliance with their data protection obligations. Key responsibilities include: Supporting the business units during the data protection impact assessment process and conducting relevant risk assessments Managing and co-ordinating the response to data subject rights requests Recording the statistics of the number of data subject right requests made Supporting the business units in carrying out data flow reviews to help ensure the business fulfils the data protection accountability principle Providing advice and assistance to maintain an accurate Record of Processing register Identifying data processor/data controller roles and reviewing data protection terms in third party contracts Maintaining and monitoring a log of data protection incidents and breaches, and remedial recommendations and actions Supporting the investigation into data protection incidents and breaches and determining relevant actions Applying in-depth knowledge of principles, practices and procedures of data protection when advising the business. Monitoring compliance with the business’s data protection obligations The Person: Excellent understanding of the requirements of data protection and related legislation, such as PECR. Good understanding of marketing guidelines and FCA regulations. Knowledge of employee benefits and/or wealth management products and services preferred. Qualifications/Key Skills: Recognised data protection qualification or working towards qualification Hands on data protection and privacy experience, preferably in the financial services sector Experience in overseeing compliance with policies, procedures, notices and consents Familiarity with physical and technical information security issues Knowledge of data protection compliance frameworks such as Privacy Shield Strong analytical skills Strong communicator with proven effective interpersonal and influencing skills Demonstrates high level of ownership and accountability Performs as an individual contributor or contributes to a team activity Experience providing guidance and assistance to colleagues on data protection matters. Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

Senior Compliance & Financial Crime Officer

Hampshire

£70,000 - £75,000

Job Description: A Senior Compliance & Financial Crime Officer is required for a Fund & Service Administrator based in Hampshire. You will be an experienced Senior Compliance & Financial Crime Officer professional covering all aspects of Compliance & Financial Crime. As Senior Compliance & Financial Crime Manager, you will report directly in the Head of Compliance. You will be responsible for providing Compliance Financial Crime advice & guidance specific to the custodian banking industry. Responsibilities include: Compliance & Financial Crime Monitoring Providing ad hoc, day to day Compliance & Financial Crime advice to the business Creating new, developing/realigning all Compliance & Financial Crime policies and procedures. Compliance & Financial Crime Training Working with the business on various Compliance & Financial Crime projects Constant engagement with senior stakeholders on all aspects of Compliance & Financial Crime The custodian banks clients are mainly FI’s, Asset Owners and Asset Managers

Head of Risk & Compliance

London

£90,000 - £100,000

Our client is a leading online mortgage broker offering free expert mortgage advice. As the Head of Compliance & Risk, you will be manging a team of 4 compliance professionals and responsible for 2nd line Compliance & Risk oversight across the firm. Duties: Nominated contact point for FCA liason and relevant industry bodies to ensure standards are upheld Responsible for all the firm's policies and procedures to ensure compliance with FCA rules and to mitigate in regards to any risk around Financial Crime Oversight of the annual compliance monitoring plan Working closely with the board to manage the risk appetite of the firm and provide regular reporting of Compliance & Risk issues Managing the T&C scheme alongside the L&D team Engagement with senior stakeholders on new product development or change Key Requirements- Previous approved status (SMF16 and/or SMF17) Experience having worked in an FCA rgulated business, preferably within lending with MCOBS/CONC technical knowledge Strong people management and leadership skills Proven ability to influence and impact/persuade senior stakeholders