Risk & Compliance Manager

Michael Page Banking and Financial Services
London (Greater)
10 Jan 2018
09 Feb 2018
Contract Type
Full Time

This is a broad role across operational risk and compliance in a small niche financial services firm.

Client Details

Financial services firm



  • Perform regular compliance monitoring reviews in accordance with compliance monitoring plan to identify and ad report material compliance risks;
  • Ensure that compliance procedures, systems and controls are up-to-date and effective


  • Develop and maintain an understanding of relevant EU regulatory requirements to provide advice and guidance to the business regarding actions required to ensure compliance with relevant regulations.
  • Provide advice and guidance to the business regarding the application of wider legislative and regulatory requirements (e.g. impact of UN sanctions restrictions).
  • Support delivery of training to employees on compliance matters, including internal policies and procedures, the application of standards and guidelines, and relevant laws and regulatory requirements.
  • Assist in the production of reports regarding compliance matters for the AMBERS Board

Policy and Procedure Development

  • Maintain local legal and compliance policies and procedures to comply with statutory and regulatory requirements. Contribute to development of Group wide Policy and Procedures to ensure they reflect local requirements.
  • Monitor and track local regulatory changes to ensure local regulatory requirements are fulfilled. Work with the US Head Office and provide advice to local management regarding regulatory developments in the firms relevant jurisdictions

Regulatory Relations

Act as a support for the Head of Compliance in the maintenance of effective and efficient regulatory relationships. This will include supporting the delivery of standard and ad hoc regulatory reporting and playing a supporting role in preparing for meetings and supervision visits


  • Work with and provide challenge to risk owners to ensure risks are appropriately identified, assessed, mitigated or managed as appropriate.
  • Ensure the efficient and immediate resolutions to the issues across the business. Undertake incident reviews and analysis - root causes analysis and adequacy of actions to address weaknesses.
  • Undertake control monitoring, risk assessments, issues and action management, advising on control improvements and business risk reporting.
  • Prepare and deliver management reporting for boards and other committees as required.
  • Contribute to the ongoing development of the firms risk management framework.


  • An experienced operational risk and compliance professional with a broad range of skills (including compliance monitoring, risk assessment and advice) possibly gained from working in a small organisation or the subsidiary operation of a larger group
  • Experience of communicating with regulators, including the submission of reports and preparing for meetings and supervision visits.
  • Comfortable providing robust challenge to Senior Management and in reporting to Executive Level Committees.
  • Flexible and capable of operating in global environment
  • Excellent verbal and written communication skills with the ability to clearly and confidently express observations and recommendations
  • Strong organisational skills and ability to manage multiple tasks simultaneously

Job Offer

This is a 1 year fixed term contract with the potential to extend.

Excellent salary and benefits are on offer.

This job was originally posted as www.totaljobs.com/job/79099342