SENIOR COMPLIANCE & RISK MANAGER –RETAIL FINANCIAL SERVICES

Our client is a rapidly growing business that is re-defining how individuals and families connect and engage with their financial life. They their clients with control over their personal finances, enhancing their ability to achieve their personal and financial aspirations.

Our approach combines the best of human judgement and advice with sophisticated, data-driven portfolio analytics and cutting-edge digital user-experience for both clients and advisers.

They are seeking an exceptional senior risk and compliance officer to join the risk and compliance function and build out the risk and compliance framework to match the world class financial advice and technology functions already in the business..

As a fast-growing company, there is considerable scope for the successful candidate to grow with the business, assume greater levels of responsibility and progress rapidly.

The Risk & Compliance function is pivotal in creating a world class, scalable organisation, that requires the development and implement of a modern risk and compliance framework.

The role holder will support in development of the following:

  • Digital on-boarding journey and modern, nimble customer due diligence processes
  • Policy, standards, and procedures suite with accompanying communications to articulate the company’s approach to internal and external audiences
  • Development of a robust learning and accreditation programme which ensures that all staff have the knowledge base to deliver the services to clients
  • Development of a comprehensive risk and compliance assessment which forms the base of risk-based decision making within the organisation
  • A targeted compliance monitoring programme which evaluates and reports to senior management key findings gives assurance for to compliance
  • Advice to the business on key situational and transactional matters
  • Horizon scanning of the external environment to identify and analyse the relevant regulatory changes which may affect the business

 

Candidate Profile

The successful candidate will have the following:

  • A Minimum of 4 years’ experience in retail financial services compliance
  • Comprehensive understanding of compliant Customer Due
  • Diligence practices for the UK
  • Experience in a role working directly with HNW/UHNW clients, would be useful
  • Ability to assist in identifying efficiencies in processes that can be successfully automated using technology to drive scalability
  • First-hand experience with designing and implementing compliance reviews
  • Extensive experience in drafting policies, procedures, and training
  • Good working knowledge of products and services used in retail financial services
  • Experience with risk and compliance systems
  • Comfortable working with numbers (basic excel, basic financial maths)
  • An energetic self-starter with the ability to work autonomously

If you feel you are a suitable candidate for this position please contact Jonathan Banjo

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