Risk & Compliance Manager (Exclusive appointment)

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  • Salary:

    £35,000 - £55,000 + Benefits

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  • Published:

    almost 3 years ago

My client is a well-respected and trusted provider of financial products, including mortgages, savings, insurance and investments.   An exciting opportunity currently exists for an individual to become part of this small close-knit team where the main purpose is to complete planned risk and compliance reviews in line with the approved Combined Assurance Plan.  Assisting the Chief Risk Officer, you will also support the Risk and Compliance team.

Key Responsibilities:


  • Maintain processes within the business for risk assessment, review of risk incident, analysis of trends and identification of emerging risks
  • Maintain the Risk Registers and assist with associated reporting required by the Risk Committee
  • Assist with the development, implementation and maintenance of the Operational Resilience Oversight Framework
  • Complete required Key Control Reviews to ensure all key controls are operating effectively
  • Complete the required Credit Risk file reviews and ensure an appropriate report is prepared on the findings
  • Carry out Risk Review Activity in accordance with the Combined Assurance Plan
  • Produce reports highlighting review work carried out and any recommendations to improve the systems and controls in operation for the Group
  • Liaise with the Executive Team to ensure that Credit Portfolio Review is produced quarterly
  • Assist with Risk Training for Staff
  • Liaise with Auditors and Regulators regarding Risk Management Framework and activities where required
  • Review Financial Promotions in accordance with the checklist and approve or make recommendations for improvement
  • Follow Product Governance and Approval procedures where relevant
  • Carry out Compliance Review Activity in accordance with the Combined Assurance Plan
  • Assist with regular Compliance Assurance tasks when required
  • Keep up to date with developments in Regulatory and Legal requirements and provide an advisory function to the Group
  • Work as a key member of the team to provide sound and pragmatic interpretation of any regulatory change that may affect the business unit or its different service offerings.

Key Requirements:   

  • Experience of working within the UK Financial Services industry with a financial services firm, regulator or a professional services firm.
  • Strong verbal and written communication skills
  • Excellent stakeholder management at all levels.
  • Operational Risk experience within financial services
  • Knowledge of FCA / PRA regulation and some experience of providing regulatory and compliance assurance service is preferable
  • Some experience of developing, implementing and reviewing Compliance and Conduct Risk policies, processes and procedures
  • Knowledge of governance practices and requirements

Salary range is broad and commensurate with experience but will reflect the significance of the role. They are open to looking at individuals with varying levels of experience.  As well as a competitive salary, they offer an excellent benefits package with a fantastic working environment