Risk and Compliance Manager
Long standing, reputable financial services’ business are currently recruiting for a Risk and Compliance Manager to be located in their West Midlands based head office. The role will be responsible for the Risk and Compliance department, ensuring all objectives are met.
- Promote a positive risk culture with particular attention to the embedding the Risk Management Framework.
- Embed the Compliance Framework, ensuring that all compliance monitoring and quality assurance reviews are completed on time to enable them to be reported to the relevant committee.
- Responsible for the day to day oversight of anti-money laundering including transaction monitoring, investigating internal reports and reporting the NCA and acting as Deputy Money Laundering Reporting Officer.
- Prepare documents for the Executive Management Committees, Audit & Compliance Committee and the Board Risk Committee.
- Manage the Regulatory Legislation Tracker to ensure that changes to regulations are implemented in a timely manner.
- Approve financial promotions, including the website and customer documentation.
- Assist with the preparation of a compliant Annual General Meeting and other corporate governance requirements.
- Pro-actively manage and develop the Risk and Compliance team, with particular focus on improving their overall regulatory knowledge, performing regular performance reviews and annual appraisals.
- Experience in a compliance and/or risk function in a financial services environment.
- Experience of managing people
- Have an open and approachable manner and the ability to communicate and work alongside all departments promoting a good compliance and risk culture.
- Good written communications with attention to detail.
- Hold a relevant qualification e.g. Compliance Diploma, Institute of Risk Management Certificate or Certificate in Mortgage Advice and Practice (Ce-Map)