Business Risk Manager

IDEX Consulting Ltd
£28000 - £50000/annum
21 Jun 2018
12 Jul 2018
Contract Type
Full Time
Are you an experienced and driven Risk Manager, with excellent monitoring and T&C skills? We have a very exciting opportunity based in Solihull with a FTSE 100 company specialising in wealth management.

Main purpose of job:

Is responsible for ensuring controls are in place to ensure there is appropriate oversight and supervision of the firm. This is achieved by implementing corporate regulatory requirements and completing 1st line risk management controls to identify and manage the key risks within the location.

Key responsibilities of the job:

* Manage and coordinate the locations risk management framework and processes including the location risk management and Partner profiling processes
* Complete the Partner compliance review programme
* Identify and manage the key risks, ensuring investigations are thorough and completed in a timely way
* Complete the financial monitoring programme
* Provides guidance and information to improve levels of risk awareness, documentation quality and adherence to corporate and regulatory risk requirements
* Determines the appropriate supervisory regime and manage the implementation and ongoing monitoring of heightened action plans
* Manages and leads themed review activity, for example, the close qualifier reviews

Requirements of the job

* Have the technical knowledge to be able to review a broad range of advice cases to identify suitable advice and areas for Partner development
* The ability to review supervision plans and their implementation and provide feedback on its appropriateness
* Review MI, identify potential issues and have the ability to implement effective mitigation
* Understanding of FCA COBs rules regarding CF30 Advisor competence, fit and proper requirement and the appropriate supervisory expectations
* Field risk and the broader FMT supervision regime
* An understanding of the workings of client liaison, case review and compliance monitoring
* Manage the field risk investigation process, incorporating client file reviews looking for issues, trends or poor advice
* Qualified to at least the Level 4 Diploma

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful