Risk Management Jobs

Compliance Manager

Birmingham

£50,000 - £60,000 + Benefits

Support the Compliance Director in the provision of high quality advice to the business on regulatory and compliance matters and in the ongoing development and enhancement of the company’s compliance and regulatory risk management arrangements. Key responsibilities include: Developing and implementing group and company policies to meet legal, regulatory and business requirements. Providing clear, accurate and timely advice on regulatory matters, including the application of relevant requirements in the FCA Handbook. Reviewing business operations and procedures to ensure that they remain compliant with policies and procedures and relevant regulatory requirements. Monitoring regulatory developments and advising on their relevance and implications for the company and any actions needed to prepare for compliance. Drafting compliance policies and procedures, seeking input from stakeholder and educating end-users on new requirements. Prepare and deliver high quality training to staff on regulatory matters Undertaking compliance reviews or investigations and working with the relevant business area to ensure that appropriate remedial actions are identified and implemented. Accurate and timely completion of regulatory returns and forms and submitting these via FCA Connect and GABRIEL. Review of financial promotions Undertaking regulatory due diligence for potential acquisitions and reporting on findings Compiling data in response to FCA or other information requests. Representing Compliance in business projects and assisting with regulatory change projects as directed. The Person: Strong knowledge of the UK regulatory framework and the FCA Handbook Understanding of wealth management including the advice process and products 5 yrs or more in a financial services environment, preferably wealth management

Interim Compliance Assurance Specialist

Birmingham

£500 - £550 per day

The primary focus of the role is to provide assurance over the compliance of the business with FCA and Data Protection Act principles, ABI and JMLSG requirements. Additionally, the role will require the candidate to provide enhanced and proactive support to business areas on FCA Compliance matters with the aim of further deepening awareness of FCA requirements throughout the business and enhancing the Regulatory Risk control environment. Role Responsibilities: Undertake allocated Compliance Assurance reviews in line with the agreed plan to provide independent assurance to the Board over the compliance of the business with regulatory and legislative requirements Ensure that regulatory risks are identified with a particular focus on the identification of potentially unfair customer outcomes Contribute to the content of the Risk Universe and preparation of a risk based assurance plan, anticipating potential risks arising and providing objective input to the identification and prioritisation of assurance activity Identify risks or opportunities and engage the business in formulating pragmatic, customer focussed and commercial solutions that minimise the risks and maximise the opportunities Develop and maintain Compliance policies, guidelines and procedures which meet internal standards and applicable FCA requirements Experience Required: Detailed knowledge of Regulatory requirements affecting Life and Pensions Knowledge and experience of systems and controls improvement, design and implementation An understanding of auditing and/or compliance monitoring techniques. 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.

IT Security Specialist

Warrington

c.£45,000 + Excellent Benefits

Location: North West Our client is a well-respected Financial Services organisation who are currently looking to recruit an IT Security Specialist. The role supports the Head of IT Security in ensuring that the businesses IT services are delivered in a manner which supports the confidentiality, integrity and availability of systems and data, whilst complying with good practice principles, regulatory requirements and the shareholders’ requirements Key responsibilities include: Perform proactive monitoring of IT services. Measure compliance with IT security policies and maintain industry leading security standards across the whole IT estate. Perform security assessments including vulnerability scans and application testing Liaise with business functions and stakeholders with an emphasis on clear communication both internally and externally. Support the ongoing Security Awareness Programme. Act as a central contact point for IT Security audit related activity Provide second / third level support on IT Security incidents Provide guidance and support to development cells ensuring that new and existing services are developed in line with a secure code mentality and best practise. Maintain an ongoing assessment of emerging threats and vulnerabilities recommending enhancements/improvements/innovation where necessary. Ensure that annual security assessment is completed. Qualifications/Key Skills: Strong IT Security knowledge Understanding of IT risks, controls and mitigation techniques Expertise with vulnerability scanning techniques Good knowledge of ITIL processes Understanding of network/directory technologies. Stakeholder management.

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

Head of Risk & Compliance

Manchester

to circa £85,000 + Bonus + benefits

My client is an award-winning global investment bank looking to recruit a Head of Compliance to be based in their Manchester office. Reporting into the CEO & FD, the individual will be responsible for developing a positive compliance culture including the provision of proactive advice and guidance to ensure an awareness of compliance and risk management is embedded throughout the business functions and is an integral part of all decision making. This will include constructively challenging and contributing to the business planning process developing relevant strategies and driving the formulation of compliance strategy, budgets, policies and procedures. Key Accountabilities: Regulatory Policy • Provide management oversight on all regulatory standards and policies in accordance with the rules and guidance of the FCA and to provide a compliant framework • Provision of technical advice and guidance to directors, senior management and all business areas, covering all elements of the FCA Handbook • Oversee the establishment of appropriate policies and procedures to ensure timely identification of regulatory requirements and guidance issued by the FCA • Routinely review compliance operations and procedures to ensure these are efficient, client focused and fit for purpose • Build relationships and act as the interface with Regulators by providing notifications, routine reports changes to permissions and responses to ad-hoc enquiries • To oversee approach to anti-money laundering and counter terrorist financing Risk Management • Oversee the risk management approach and structure to achieve compliance with the risk management approach determined by the parent company • Identify emerging compliance risks by closely monitoring regulatory developments and internal and external business initiatives Compliance Monitoring • Oversee the annual compliance monitoring plan strategy, activities, procedures and resources, ensuring that risk-based monitoring activity is carried out in accordance with the annual monitoring plan • Maintain an effective and robust process for independently assessing the quality of advice provided to clients against defined business standards and regulatory requirements Management Information • To ensure the provision of good quality Management Information and reporting to the Executive together with recommended solutions for issues identified • To ensure all risks of a significant nature and impact are reported to the Executive Relationships, Both Internal and External • Internally - with Regional Managers, Senior Functional Managers, Directors, Risk Management Committee and Executive • Externally – the FCA, 3rd Party Suppliers, Platform and Product Providers Knowledge, Skills and Experience: This is a senior role suitable for an experienced Risk and Compliance professional with a proven track record in Financial Services. Knowledge and Experience • Preferably a qualified, practice-trained accountant • Experience in a senior risk/compliance role preferably within an FCA environment • A risk specialist with experience of developing a regulatory support and advisory function • Experience of strategy interpretation and delivery • Strong understanding and delivery of Corporate Governance Skills • Capable of building a strong relationship with business stakeholders and delivering a proactive programme of regular advice and practical support for all areas of the business • Proven track record of delivering operational change and improving standards • Project leadership skills and a proven leadership and credibility with directors and senior management • Capable of interpreting and delivering operational and strategic advice on regulatory developments processes and standards • Drafting skills – the ability to write documents, correspondence, briefing notes and procedures in a clear and concise format Salary is entirely commensurate with experience but will reflect the significance of the role 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.

Financial Crime Officer

London

£80,000 - £90,000

Financial Crime Officer required to join a specialist transformation team at a corporate bank based in London. The bank is undergoing a major transformation and require SME’s across various subjects, Financial Crime being one. As a Financial Crime Officer part of the specialist transformation team, you will be working closely with the 1st, and 2nd line Financial Crime functions to ensure successful delivery of multiple transformation projects. You will be a Financial Crime Officer from the 2nd line of defence who has worked on change projects in some capacity. We are not looking for Project Managers or Business Analysts. You will have strong written/presentation, oral communication and influencing skills. This is a high profile team with people performing at the top of their game. This is an excellent opportunity for a Financial Crime Officer, wanting to explore something slightly different whilst maintaining their deep Financial Crime subject matter knowledge. If you are interested in this opportunity and would like to apply or would like further information, please submit your CV. Alternatively, call Pritesh Chudasama at the office 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.

Risk Manager - Banking

London

£40,000 - £50,000

Job Description: A leading international corporate bank is looking to appoint a Risk Officer for their London Branch (Canary Wharf based). Offering Corporate and Wholesale banking products, they have managed to retain year on year profitability while expanding their branches globally. This is a truly holistic opportunity as you’ll be asked to support the Bank by identifying and advising on key Market, Credit and Operational Risks. Sitting at the 2nd line, you’ll work on establishing an effective risk framework and culture across the business while translating your findings and recommendations back to the Risk Committee and the Board. The Person: This role would be ideal for an experienced Risk professional who is looking for a hands-on, broad exposure challenge. It would also be good if you have: Experience in Enterprise, Operational, Market, Credit or Business Risk Management An analytical hands-on approach to work and strong reporting abilities Strong stakeholder management abilities and comfortable facing off across the business in a stand-alone position