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Risk and Compliance Officer

  • Location: Preston
  • Salary: Competitive Salary per year
  • Job Type:Permanent

Posted 10 months ago

Financial Services business, with a UK wide presence and products in the pensions and investment space, are looking to strengthen their Compliance & Risk team with the addition of a Compliance & Risk Officer.  Reporting to the Head of Risk & Compliance, the role holder will develop and manage compliance policies with appropriate quality assurance and compliance monitoring in line with relevant legislation and regulatory requirements.

Key responsibilities include:

  • Risk management; Maintain risk register, facilitate 'horizon-scanning' and the identification of regulatory risks as part of wider risk management framework within the business,
  • Ensure that effective internal control-testing programme is in place, highlighting areas of improvement and follow-up action as required.
  • Maintain and deliver an effective Fraud Control Framework.
  • Compliance; Ensure policies are maintained and are effective and proportionate, assess and interpret regulatory documentation to provide a clear impact assessment of any change / requirements.
  • Support the maintenance and evolvement of the breaches register to include reporting any material incidents.
  • Prepare clear and timely management information reporting as appropriate.
  • Develop and maintain strong relationships with other teams that have touchpoints with the administration business and provide appropriate advice on risk and compliance issues as required.

Experience Required:

  • A proactive, self-motivated team player who can work independently with minimal supervision, manage a high personal workload with multiple deadlines and continually strive for improvements in quality, efficiency and presentation.
  • Relevant experience, working in a compliance/risk role.
  • Pensions experience is desirable.
  • Financial services regulated environment experience essential.
  • Sound knowledge of regulatory requirements

To discuss the role in greater detail please contact Michael Ayres on 0161-883-2758 or send through your CV to

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.