Risk and Compliance Manager

16 Apr 2017
16 May 2017
Contract Type
Full Time

Our client is a well-respected organisation who are recruiting for a Risk and Compliance Manager. The role is responsible to support the Director of Operations in ensuring effective management of the company’s risk and compliance obligations.

The role-

  • To be the point of contact for risk and compliance issues for the Partnership / Senior Management, providing 'know-how’ and advice to the firm on key compliance issues.
  • Implementing an effective risk strategy, to include risk frameworks, business impact analysis, and the business continuity plan.
  • Ensuring compliance with EU and UK legislation and regulations to which the firm is subject, such as data protection and anti-money laundering legislation.
  • Responsible for communicating risk management issues to the business on an ongoing basis to raise awareness and embed buy-in.
  • Provide tailored legal and regulatory advice to the business on a diverse range of queries, including all professional standards advice, regulatory advice, code of conduct and SRA handbook queries, advice on statute such as the ML Regulations, Bribery Act, Data Protection Act, GDPR.
  • Review, update, and implement risk and compliance policies and procedures.
  • Chair the Risk and Compliance Group and be a member of the Audit Group.
  • Lead key risk and compliance projects and software implementation.
  • Assist with reviewing client audit responses and the supplier audit process.
  • Assist with client on-boarding and advise on the implementation of new client requirements throughout the business.
  • Advise on client contract compliance, working with Client Relationship Managers to ensure contract compliance.
  • Produce MI for Senior Management and Partners.
  • Actively liaise with the IT Security Manager, Legal Operational Managers and support staff as appropriate

Key Requirements-

  • Professional services and regulated sector background (finance/legal/medical)
  • Knowledge of current regulation and legislation in the regulated professional sector
  • Experience of designing and implementing risk frameworks, policies and processes
  • Compliance software experience