Risk Management Executive

Alexander Lloyd
£40,000 per annum
01 Oct 2017
26 Oct 2017
Contract Type
Full Time

Risk Management Executive

To identify key risk exposures for the Firm and to contribute towards successful mitigation techniques to minimise
regulatory impact. To oversee key risk functions to aid the Firm in successful maintenance of its regulatory standing.

- To ensure that sufficient Professional Indemnity Insurance is effected for all Firms within the Group and to
additionally ensure that records of PI are maintained for companies directly associated with the
- To ensure that sufficient Directors and Officers Insurances are effected for all Directors/Officers within the Group
and that this is monitored to accommodate structural change
- To participate and oversee the compliance due diligence for potential acquisition firms
- To co-ordinate and oversee the regulatory reporting for all Firms within the Group (GABRIEL)
- To maintain responsibility for Firm authorisations and de-authorisations in connection with acquisition firms,
appointed representatives and trading styles
- Where necessary, co-ordinate and manage the variation of permissions process including, but not limited to,
collation of business plan material, regulatory research and execution
- To oversee the implementation of regulatory policy and procedural change where this has an impact upon the
regulatory position of the Firm
- To be responsible for implementation of regulatory project actions under the direction of the Regulatory Projects
Manager and Group Head of Risk
- To provide assistance in contract review to T&C Operations for all 3rd party provider terms of business or professional introducer relationships
- To manage the prompt renewal of all Firm regulatory licences such as FCA permissions and data protection
- To 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 is desired
· FCA Regulatory work experience
· Self-motivation and ability to work both independently or collaboratively is essential
· Strong I.T. skills
· Ability to work within an environment that is fast-paced with competing priorities