Risk & Compliance Manager

Recruiter
Baker Bright Recruitment
Location
London (Greater)
Posted
05 Apr 2019
Closes
29 Apr 2019
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Risk and Compliance Manager
London City
Up to c£40k and benefits
New opportunity to join a growing business and a prospect to work for an entrepreneurial business, whose teams and individuals continue to grow as part of an independent and strong business. Their aim is to create an exciting environment where talent thrives and ambition can be fulfilled.
Duties and responsibilities include:
* Implementing the firm’s Risk Management Policy and Framework including facilitating the development, updating of risk registers, quarterly reviews with local executive teams, management of control declarations, recording, reporting and escalation of events.
* Ensuring the Conduct Risk Framework is implemented and embedded, including compliance monitoring and conduct reporting.
* Maintaining appropriate registers.
* Ensuring that the internal/external Policies and Procedures are implemented and embedded.
* Complete Board and Executive reporting on Risk and Compliance matters.
* Ensure that an appropriate process is in place for approval of any new producers and ongoing due diligence.
* Make sure terms are in place with all producers and that these are up to date and appropriately worded.
* Escalate to Risk and Compliance any changes in due diligence information.
* Ensure that an appropriate process is in place for approval of any new insurer relationships ensuring Approved Security Policy are complied with.
* Make sure insurer terms are reviewed and confirm appropriate risk transfer, cascade of risk transfer and client money clause are included.
* Acting as first point of contact for all risk and regulatory compliance issues.
* Ensure that an appropriate Complaints and Breach Management process is in place, handled in a timely and consistent manner, recorded appropriately in the required format and trends analysed.
* Ensure that an appropriate file review/quality assurance process is in place to demonstrate compliance where required.
* Assisting the Internal Audit function with any reviews.
* Advising and ensuring staff are provided with guidance on the application of relevant laws, regulations and standards.
* Sharing best practice with Risk and Compliance Managers in other businesses

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