Head of Risk & Compliance (must be a Qualified, Practice-trained Accountant)

  • Location


  • Discipline:

    Compliance, Risk Management

  • Job type:


  • Salary:

    to £90,000 + Bonus + benefits

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    about 1 month ago

My client is an award-winning global investment bank looking to recruit a Head of Risk & 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 Responsibilities include;

  • Promote Risk and Compliance procedures across the group designed to meet the demands of the business
  • Coordinate and support AML and financial crime initiatives
  • Coordinate ad-hoc queries and returns to FCA under supervision of FD
  • Liaise with departmental compliance experts and coordinate external advisers in relation to compliance and deal related matters
  • Able to review training records, operate CISI super user and assist the HR team to ensure documents support SMCR style assessments
  • Able to oversee PA dealing and coordinate a restricted list
  • Maintain gifts (and similar) register
  • Manage company’s relationship with Information Commissioners Office regarding data protection
  • 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
  • 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

Knowledge and Experience:

  • A qualified, practice-trained accountant
  • Experience in a senior risk/compliance role within an FCA environment
  • Strong understanding and delivery of Corporate Governance
  • 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

This is a senior role suitable for an experienced Risk and Compliance professional with a proven track record in Financial Services.  The individual will also need to be a qualified, practice-trained accountant. 

Salary is entirely commensurate with experience but will reflect the significance of the role.  Benefits are comprehensive and Bonus potential could be significant but is entirely dependent on company performance

The client is proposing a flexible working arrangement which is likely to involve a mixture of office and home based working.

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.