MERJE have partnered with a leading UK Insurance Intermediary group who are currently recruiting for a Risk and Compliance Governance Manager who will be able to lead the Risk and Compliance function for a variety of firms whilst supporting the Head of Risk and Compliance in embedding Risk and Compliance processes across the region.
• To be responsible for the governance arrangements in key areas of the risk and compliance framework, including the policy suite, conflicts of interest and control attestation.
• To ensure that in relation to Regulatory Compliance and Risk Management, the relevant firms are operating in accordance with Risk and Compliance Policies and Framework, in particular the Risk Appetite Statements, incorporating conduct risk
Ensure the Risk Management Policy and Framework is implemented within the relevant firms, specifically:
• Facilitating the development and updating of Risk Registers (including controls and related actions)
• Quarterly review of top 5/key specific risks with local executive teams
• Management of control declarations as required
• Recording, reporting and escalation of actual or near miss events
• Ensure the Conduct Risk Framework is implemented and embedded within the relevant firms, including Compliance monitoring and conduct reporting
• Maintaining Compliance Registers (complaints, breaches, outsourcing, gifts, conflicts, financial promotions, appointed representatives)
• Ensure that the Group Policies and Procedures are implemented and embedded within the relevant firms.
• Ensure any firm specific policies and procedures required above or beyond Group Policies are implemented and embedded.
• Complete Board and Executive reporting on Risk and Compliance matters for the relevant firms using the correct format, ensuring the key issues are raised.
• Act as first point of contact for all risk and regulatory compliance issues within the relevant firms.