Risk & Compliance Manager

Newark, UK
23 Jul 2019
31 Jul 2019
Contract Type
Full Time
My client is looking for a Risk & Compliance Manager to join a successful, independent, financial services group based in Newark.

The ideal candidate will need to be able to identify, monitor and minimise the risks that the business is exposed to, striving to provide guidance and support to the business on compliance and risk matters and, ensuring all financial advisers remain compliant to required regulators.

Key Responsibilities
  • Maintaining and helping to build out the Compliance Function from the ground up including the development of various compliance policies and procedures
  • Complete File checks on completed cases to ensure all cases are compliant
  • Direct operational responsibility for the implementation of policies and procedures to mitigate Anti-Money Laundering (AML) Risks and prevention of financial-crime and terrorist financing
  • In charge of making necessary statutory submissions including Companies House updates and notifications
  • Complete monitoring of internal compliance and regular review of internal compliance manuals and policies
  • Drafting and updating policies and procedures on a regular basis
  • Responsible person for FCA's Online Notification Applications (ONA) for Approved Persons
  • Providing advice and guidance on regulatory updates to the company
  • Reporting to UK Regulatory bodies such as the FCA
  • Maintaining the Company's Treating Customers Fairly policy
  • Lead successful in-house implementation of regulatory changes with thorough understanding of the rules and regulations put in place by various regulators
  • Work with each individual section of the business to help with their compliance queries
  • Completing ad hoc compliance projects

Key Skills
  • Experience working within a financial services firm
  • Compliance, accounting or audit experience desirable
  • Excellent communication and listening skills
  • Highly motivated with an eagerness to learn
  • Flexible and adaptable in a constantly changing environment
  • Competent on Microsoft Office suite i.e. Excel, Word etc.
  • Strong understanding of GDPR and DPA Compliance
  • Customer focused
  • Strong attention to detail

Key Behaviours
  • Bright and self motivated
  • Committed and proactive
  • Quick thinking and adaptable
  • Positive team player
  • High sense of personal responsibility
  • Reliable, flexible and cooperative
  • Sensible, diplomatic and tactful
  • Personal and approachable
  • Well presented
  • Results driven

  • Basic Salary in region of £24,000 - £30,000 dependent on experience
  • Hours of Work: Monday-Friday 9:00am-5.00pm
  • Bonus scheme for Personal Responsibilities
  • Death in Service
  • Employment Pension scheme available
  • Mileage allowance paid at recommended rate
  • Laptop provided
  • Annual cost of living reviews & bonus in line with Group administration staff policy

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