£50,000 - £55,000 + Benefits
almost 3 years ago
Our client are a leading financial services’ business who are currently recruiting for a Risk and Compliance Manager. The role will be responsible for the management of the Risk and Compliance team working with the business to define and oversee the implementation of policies and procedures.
- Manage the Risk and Compliance team to develop and maintain regulatory standards and policies for the business to provide a compliant framework for the business to operate within.
- Provision of technical advice and guidance to the Head of Risk and Compliance, Legal and Regulatory Director, senior management and all business areas within the business covering all elements of the FCA handbook
- Identify and evaluate the impact of regulatory change on the business, through analysis of consultations and policy statements issued by the FCA and other regulators
- Provide a compliance helpdesk service which acts as a subject matter expert for all compliance matters impacting on the day to day activities of advisers and support staff
- Plan and manage technical projects for the Legal and Regulatory function
- Ensure timely identification of regulatory requirements and guidance issued by the FCA, JMLSG and other appropriate legislative, regulatory, governmental or industry bodies and to provide prompt assessment of the impact on the Group’s processes, systems and controls
- Manage the implementation of the business’s approach to anti money laundering and counter terrorist financing
- Develop and implement the annual compliance monitoring plan strategy, activities, procedures and resources, ensuring that risk based monitoring activity is carried out within the business in accordance with the monitoring plan
Assist the Head of Risk and Compliance with the rigorous investigation of any concerns or rule breaches referred to the Legal or Regulatory function or revealed by regulatory management information.
- Strong knowledge of the FCA handbook, principles for business and the Financial Services & Markets Act 2000
- Ideally Level 4 Diploma qualified (or working towards)
- Five years’ experience in a senior compliance role preferably within a multi distribution FCA environment, including regular contact with the FCA
- Strong knowledge and understanding of business risk assessment and management