I’m working with a leading independent wealth management business who are looking for a Network Risk and Oversight Manager to join the business to identify and mitigate conduct risks/systems and controls weaknesses within appointed representatives.
The role will involve taking responsibility for the following:
To identify risk indicative information and key risk indicators regarding the activities within the Network and to ensure that the information used to assess risk remains up-to-date and relevant taking account of changes in the regulatory landscape and business propositions within the business.
To ensure the implementation of self-assessment activity is embedded into business-asusual activity.
To ensure the ongoing financial fitness and propriety of network members in line with FCA and network requirements.
To analyse and interpret risk information/KRIs so as to form an assessment on the extent to which the business are meeting regulatory requirements having particular regard for analysing the achievement of good consumer outcomes.
To deliver evidential information on the risk management and investigation activity as and when the regulator or other parties request.
To collate and prepare the governance risk reports.
Ensure effective root cause analysis and trending analysis takes place to identify emerging and / or real risks and to take appropriate action to reduce / prevent reoccurrence.
Good technical knowledge of financial services products and markets.
Experience within a financial services compliance and/or operational risk environment
Ideally working towards/holding the QCF Level 4 Financial Services qualification with desire/ambition to attain Chartered status.
Certificate in Mortgage Advice (CeMap/ CF6), or equivalent
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.
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