Group Risk and Audit Manager

Plus One Personnel
£45000 - £55000 per annum
08 Oct 2017
08 Nov 2017
Contract Type
Full Time

Title: Group Risk and Audit Manager
Hours: Full Time (Monday to Friday 9am - 5pm)
Location: Plymouth (with some national travel)
Salary: £45,000pa - £55,000pa

Our client is a fast growing, nationwide wealth management firm who pride themselves on the rewarding experience they offer to their clients in order to support them in achieving their financial goals. The business is now looking to expand their team based in Plymouth by recruiting a technical and highly analytical Group Risk and Audit Manager who has a genuine drive to ensure excellence and continuous improvement within the Compliance arena. The ideal candidate will be an ambitious and driven individual who is always keen to drive their own development in addition to continuous improvement across the workplace.

This role requires a Level 4 Diploma in Financial Planning, with substantial experience within Compliance. In return, my client can offer you genuine career progression opportunities, study support and a comprehensive benefits package.


  • To provide active support to the Group Compliance Director by implementing and maintaining a risk management framework/architecture.
  • Hold risk committee meetings, across the business.
  • To conduct monitoring and audits in order to establish effectiveness of controls put in place to manage key risks.

Skills & Experience:

  • Qualified to Level 4 in a RDR qualification, e.g. Diploma in Regulated Financial Planning
  • Demonstrable knowledge and understanding of risk management frameworks, principles and methodologies
  • Strong knowledge of the UK regulatory framework and the FCA Handbook
  • Demonstrable knowledge and understanding of audit principles and techniques
  • 5 years or more in a financial services environment
  • 3 years of more in a compliance/risk environment
  • Compliance auditing and monitoring experience in an IFA/financial planning environment
  • Ability to work under minimal supervision
  • Strong technical and analytical skills
  • Ability to plan and deliver a schedule of work to agreed timescales
  • Drive for sustained excellence and continued improvement
  • Strong written and oral communication skills
  • Able to liaise with internal stakeholders and quickly gain credibility as a professional and competent colleague.
  • A risk management qualification, e.g. the IRM's Certificate in Risk Management desirable
  • Chartered Financial Planner status desirable

If you are interested in the above role then please apply with your CV or phone Joanna Middleton on 01926 332277 for a private and confidential discussion.

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