Risk and Compliance Manager

West Midlands
15 Sep 2017
19 Sep 2017
Contract Type
Full Time

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.

The role:

  • 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.

Key Requirements-

  • 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)