Risk Management Executive
NJR are delighted to be representing a highly respected and well established firm of independent Financial Planners, who now have an excellent opportunity for an experienced and talented Risk Management Executive to join the team in identifying key risk exposures for the Firm and to contribute towards successful mitigation techniques to minimise regulatory impact.
The main purpose of your role will be to oversee key risk functions to aid the Firm in successful maintenance of its regulatory standing; whilst maintaining responsibility for Firm authorisations and de-authorisations in connection with acquisition firms, appointed representatives and trading styles.
- To participate and oversee where necessary the compliance due diligence for potential acquisition firms, ensuring that deadlines.
- Co-ordinate and oversee the regulatory reporting for all Firms within the Group.
- Reporting, fees returns, professional standards returns and collating information for FCA thematic or Ad-hoc requests
- Co-ordinate and manage the variation of permissions process including, but not limited to, collation of business plan material, regulatory research and execution
- To review all Financial Promotions material with a view to providing efficient authorisation. Where authorisation cannot be granted, demonstrating strong communication/co-ordination skills to result in an efficient outcome
- To review and authorise changes to stationery templates in line with FCA regulation and to communicate authorised templates to all relevant stakeholders
- To oversee the implementation of regulatory policy and procedural change where this has an impact upon the regulatory position of the Firm
- Oversee the risk audit of all regulatory management information on a periodic basis and communicating/coordinating with heads of department/senior management to ensure adequate risk mitigation/reporting.
- Level 4 Diploma in Financial Planning preferable but not essential
- FCA Regulatory work experience
- Excellent communication, organisation and prioritisation skills
Our client is looking for some one with a can-do attitude, who has the eagerness and drive to succeed in a face paced busy environment, as well as having the ability to build strong relationships and displaying professionalism at all times.
For further information please contact one of our specialist consultants quoting REF: NJR6519