Risk Manager

Coast Specialist Recruitment
Horsham, UK
06 Aug 2019
17 Sep 2019
Contract Type
Full Time
Risk Manager


General responsibilities

·Chair and contribute to risk committees and other committees

·Keep up-to-date with regulatory and industry developments

·Assist the Group Compliance Director in managing risk throughout the business

·Provide evaluation reports to the Compliance Director

·Formulate gap analyses and action plans where required

·Manage risk in respect of GDPR across the Group

·Provide annual risk evaluations and annual risk reports

·Undertake project work

·Assist with documenting new procedures, systems and controls

·Act as an internal policy owner for Group policies where deemed appropriate

·Liaise effectively with senior management in respect of regulatory and commercial issues

·Assist the Compliance Director in providing a timely response to requests for information, regulatory returns and other data gathering

·Assist in making all appropriate notifications to the FCA

Risk & GDPR Officer responsibilities

·Produce risk MI monthly

·Assist with the management of risks as identified through the committee structure

·Track / coordinate actions and risk mitigations

·Apply a risk-based and common-sense approach to the compliance risk management process

·Undertake appropriate reviews of FCA outputs, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks

·Produce analysis of internal procedural gaps and make suggestions of actions needed

·Provide technical support throughout the Group's businesses and to staff

·Undertake internal reviews of process sufficiency and provide findings to the Compliance Director

·Provide support to other areas of the Compliance Department

Skills and knowledge

·Detailed knowledge of FCA rules and their interpretation/application

·Understanding of risk and factors affecting risk within a financial services company

·Ability to evaluate FCA handbooks and thematic outputs

·Ability to interpret legal requirements and European directives

·Ability to engage with and motivate others whilst remaining flexible/adaptable

·Highly developed analytical, observational and communication skills

·Understanding of technology and being comfortable working in a technology focused business

Qualification requirements

·Minimum of level 4 Diploma in regulated financial planning (or equivalent), with significant progress towards the achievement of further qualifications desired

·Experience with a risk function
Desirable Qualifications and Experience
·L6 Advanced Diploma working towards Chartered Status

·J07 Supervision in a Regulated Environment

·Significant compliance experience within the financial services, preferably in an investment or insurance environment. An in-depth understanding of FCA/PRA regulatory expectations

·Experience working within a network, platform or product provider

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