Risk Management Jobs

Compliance Manager

Newcastle

c.£65,000 + Benefits

The role will involve supporting the Chief Risk Officer and Compliance Director with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary. Key responsibilities include: Deal with client’s complaints in line with the firm’s complaint handling procedures. Ability to liaise with complainants and 3rd parties to obtain suitable outcomes. Maintain the firms Complaint Register. Prepare, audit and administer recruitment files for all new advisers, for approval by the Compliance Director to a standard that meets the requirement of the firm and the Financial Conduct Authority. Maintain and manage the recruitment, appointment and certification of advisers under the Senior Management & Certification Regime Maintain all Compliance Registers with the firm(s) as required. Create and edit compliance related documents as directed to meet the requirements of the firm and Financial Conduct Authority. Contribute to the content and maintenance of the Business Practices Manual and company directives. To assist the Compliance Director in producing regulatory and other returns as required from time to time. Review client files as directed by the Compliance Director and provide feedback to advisers in line with the firm’s procedures. Maintain and manager the firm’s data protection assessment register, The Person: Minimum Level 4 qualified Understanding of the wealth management industry 5 years or more in a financial services environment, preferably wealth management 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.

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.

Risk & Compliance Advisory Manager (FTC for 6 months)

Manchester

to circa £50k + benefits

Job Description: My client is a market leading brand, committed to saving customers money and putting customers first. A dynamic business with a unique culture, this role will enable you to work across the whole group and really make a difference. Due to an internal secondment, they are currently looking for Risk & Compliance Advisory Manager to join a growing team responsible for providing risk and compliance support across a broad range of services, including consumer credit and insurance. A key part of the role is partnering with the business to help ensure risk and compliance matters are appropriately identified, managed and mitigated throughout the Group’s operational and change activities, and supporting the embedding of an effective risk management framework. You will also provide input to strategic decisions and key projects at an early stage, to help identify any potential risk and what action might have to be taken to reduce these. Key responsibilities include: Engaging predominantly with the Insurance teams through the operation of the Risk & Compliance framework to ensure risk and compliance matters are identified and managed effectively. Representing Risk & Compliance at relevant functional and change meetings, and third party providers and partners as necessary. Supporting implementation and maintenance of an effective risk and conduct culture. Providing risk and compliance advice to business stakeholders enabling management to make informed business decisions which reflect regulatory expectations and risks. Supporting the analysis of the impact of regulatory change to the Group and the effective implementation. Producing inputs for the relevant sections of regular Risk & Compliance reporting to Senior Management, Executive Management and Board (including Board sub-committees). Developing strong network of relationships across the Group. The Person You should have a deep understanding and knowledge of the regulations around Insurance Distribution and risk management / compliance requirements. Understanding of FCA regulatory requirements with a deep knowledge of ICOBS. Strong communications skills, both orally and in writing across all levels of management. Practical and pragmatic approach to problem solving which balances commercial and regulatory objectives. Ability to form close working relationships across the business and influence management and stakeholders. Highly motivated individual with the ability to work independently. Ability to operate effectively within a fast paced organisation. Independence of mind and approach. Self-Starter. Risk and/or Compliance experience gained within a relevant FCA regulated environment. Salary is entirely commensurate with experience and will be pro rata’d accordingly based on the length of the contract. 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.

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.

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.

Regional Compliance Manager – IFA/Wealth

London

£65,000 + Benefits

Job Description: The role will involve supporting the Chief Risk Officer and Compliance Director with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary. Key responsibilities include: Create and edit compliance related documents as directed to meet the requirements of the firm and Financial Conduct Authority. Contribute to the content and maintenance of the Business Practices Manual and company directives. To assist the Compliance Director in producing regulatory and other returns as required from time to time. Review client files as directed by the Compliance Director and provide feedback to advisers in line with the firm’s procedures. Deal with client’s complaints in line with the firm’s complaint handling procedures. Ability to liaise with complainants and 3rd parties to obtain suitable outcomes. Maintain the firms Complaint Register. Prepare, audit and administer recruitment files for all new advisers, for approval by the Compliance Director to a standard that meets the requirement of the firm and the Financial Conduct Authority. Maintain and manage the recruitment, appointment and certification of advisers under the Senior Management & Certification Regime Maintain all Compliance Registers with the firm(s) as required. Maintain and manager the firm’s data protection assessment register The Person: Relevant broad based Compliance experience within a Wealth, IFA or Financial Planning environment Minimum Level 4 qualified Strong interpersonal skills – engagement with a variety of stakeholders across the business Good attention to detail Strong oral and written communication

Data Protection Analyst

Liverpool

Competitive Salary

Overview Located in Liverpool, Merseyside, the Data Protection Analyst is responsible for supporting the Data Protection team within the Compliance department, specifically the Data Protection Compliance Officer in the daily work duties relating to data protection. They are responsible for the daily tasks of the Data Protection team including monitoring notifications to the Data Protection mailbox and carrying out assessments for data protection breaches and individual rights requests. The successful candidate will play a key role in change and new projects in order to provide guidance and advice to the business and support all proactive related activities relating to Data Privacy. Key responsibilities include: Assist the Data Protection Compliance Officer (DPCO) to develop, embed & monitor data privacy management and oversight across the business Responsible for leading data protection monitoring reviews across the firm and assisting the DPCO with the develop of the annual DP monitoring programme Assist with the development of the 2nd line of defence (2LOD) privacy programme bringing new ideas to ways of working and helping to embed this within the organisation Assist the business in developing the appropriate policies relating to data protection Stakeholder management and providing guidance and support in relation to the DPIA Process Support the Data Protection Compliance Officer and help to embed the desired data privacy culture within the firm Providing guidance on change programmes and new projects from a Data Privacy Perspective The ideal Candidate: Good knowledge and understanding of The Data Protection Act 2018 and GDPR Relevant qualification relating to Data Protection/Data Privacy. Knowledge and experience of information security and data protection risk management Strong ability to disseminate and clearly communicate GDPR and ICO matters effectively Ability to provide a commercial view whilst considering the high importance of Data Subjects Policy and process adherence and oversight Ability to work under pressure Confident communicator Ability to analyse complex business issues into simple & clear advice and priorities 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.

Product Governance Analyst

London

£30,000 - £40,000

A global leader in insurance brokerage and employee benefits is looking for a Product Governance Analyst to support the Compliance and Risk teams on new and current product developments. Sitting within a small team of experts, your aim will be to minimise risk by evaluating current product offerings and future products prior to their launch. Working with the broader Governance department, you will have the opportunity to immerse yourself in various different projects and collaborate with a number of cross-functional teams, all while gaining significant exposure across the business and senior stakeholders. As part of your daily responsibilities, you will: Ensure that all business trades are compliant in respect to new product development Act as a focal point of technical oversight on new products and current offerings evaluation Collaborate with the Risk & Governance Director and other key business partners to implement and improve the product governance framework This might be your ideal next move if you are: Educated to a degree standard and willing to pursue further qualifications for your personal development (legal backgrounds/CII qualifications would be preferred but not necessary) Knowledgeable on general insurance products, services and classes of insurance, including underlying legal principles and practices Experienced in the Insurance Market with a particular focus in technical drafting, amending and agreeing inclusions wording Knowledgeable of Conduct Risk and regulatory requirements A results driven team player who is able to plan and deliver a demanding workload Detail focused with the ability to spot potential risks and issues Confident with MS Office

Risk Analyst

Chester

c.£35,000 + Benefits

The role will support the Head of Risk in implementing and maintaining the company’s Enterprise Risk Management Framework by assisting with framework development, implementation, roll out and ongoing maintenance and development. Key responsibilities include: Own administration of the risk event process and oversee the management of risk events to resolution by the business, supporting root cause analysis and monitoring action plans to completion Act as the administrator of any tool used to record and track risk events Assist with the maintenance of risk registers across all business areas and assist the business in identifying and assessing risks helping them to design strategies to mitigate these risks Assist the Head of Risk in co-ordinating the Governance Self-Certification and Control Risk Self-Assessment exercises within the business, analysing and reporting on the outputs Review and validate that risk management processes are being adhered to by the business and escalating any non-adherence as appropriate Work with the business to educate them about risk identification, management and control Update policies, processes and training material to support implementation and embedding of the risk management framework Working with colleagues on risk and compliance reviews, deep dives, investigations etc Undertake analysis of risk events and prepare regular reports for senior management and governance forums The Person: Good understanding of the three lines of defence model and risk management frameworks and tools Understanding of process, risk and control management and how it can be applied to deliver outcomes for clients, the business and regulators Experience working in UK financial services risk management 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.

Compliance Manager

Birmingham

c.£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