Compliance and Risk Manager
Northern Home Counties (London)
We have been exclusively retained by a prestigious asset manager which is seeking a Compliance and Risk Manager to oversee and maintain, as well as develop and expand, its clients compliance and risk management frameworks
Job description
The Compliance and Risk Manager will ensure compliance with all regulatory requirements and proactively lead on implementing and overseeing the compliance and risk management frameworks, reviewing the operation of internal controls, identifying potential risks and designing mitigating controls. Working closely with stakeholders across the business, the role will lead an ongoing assurance programme over compliance with internal policies and promote a culture of accountability and compliance within the business
Specific responsibilities will include:
Ensure compliance with all regulatory requirements, applicable laws and internal policies
Proactively guide on implementation of evolving regulatory requirements
Maintain, monitor and develop tailored compliance policies, procedures and training programmes
Deliver assurance reports on compliance with regulatory requirements and internal policies
Be the primary point of contact for the FCA
Maintain, monitor and develop the risk management framework, collaborate with colleagues across the business to identify emerging risks and ensure that controls are designed and operating effectively
Prepare and deliver reports on compliance and risk matters to the Internal Risk Group, Audit & Risk Management Committee and senior management
Support and guide the firm’s engagement with key stakeholders on risk matters
Promote a culture of accountability and compliance with the FCA’s Code of Conduct, providing training and leading by example
Line manage
Perform other duties and assist with additional areas and special projects as required
Work Experience and Knowledge required
7 + years’ experience in a similar or related role
Experience working in a compliance role for an FCA regulated business
Experience overseeing risk management frameworks and reviewing/reporting on effectiveness of processes
Please note that candidates will be required to be in the office for five days per week