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Financial Services Risk Manager

Posted on Aug 1, 2019 by CV-Library

Horsham, West Sussex, United Kingdom
Customer Service
Immediate Start
£45k - £50k Annual
Full-Time
Financial Services Risk Manager - Horsham - up to £50,000

Our client is a leading Financial Services company who are going through a period of growth and are keen to add an experienced Financial Services Risk Manager to join their team.

The successful candidate will be responsible for -

*Chair and contribute to risk committees and other committees within the Group

*Keep up-to-date with regulatory and industry developments

*Assist the Group Compliance Director in managing risk throughout the business

*Provide evaluation reports to the Compliance Director

*Formulate gap analyses and action plans where required

*Manage risk in respect of GDPR across the Group

*Provide annual risk evaluations and annual risk reports

*Undertake project work

*Assist with documenting new procedures, systems and controls

*Act as an internal policy owner for Group policies where deemed appropriate

*Liaise effectively with senior management in respect of regulatory and commercial issues

*Assist the Compliance Director in providing a timely response to requests for information, regulatory returns and other data gathering

*Assist in making all appropriate notifications to the FCA

Risk & GDPR Officer responsibilities

*Produce risk MI monthly

*Assist with the management of risks as identified through the committee structure

*Track / coordinate actions and risk mitigations

*Apply a risk-based and common-sense approach to the compliance risk management process

*Undertake appropriate reviews of FCA outputs, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks

*Produce analysis of internal procedural gaps and make suggestions of actions needed

*Provide technical support throughout the Group's businesses and to staff

*Undertake internal reviews of process sufficiency and provide findings to the Compliance Director

*Provide support to other areas of the Compliance Department

Ad-hoc Responsibilities

*Take on tasks and projects as delegated by the Compliance Director, applying a can-do attitude and a timely approach to work outside that of technical interpretation

*Complete tasks to a high standard and apply initiative to accommodate for wider issues.

Skills and knowledge

*Detailed knowledge of FCA rules and their interpretation/application

*Understanding of risk and factors affecting risk within a financial services company

*Ability to evaluate FCA handbooks and thematic outputs

*Ability to interpret legal requirements and European directives

*Ability to engage with and motivate others whilst remaining flexible/adaptable

*Highly developed analytical, observational and communication skills

*Understanding of technology and being comfortable working in a technology focused business

Qualification requirements

*Minimum of level 4 Diploma in regulated financial planning (or equivalent), with significant progress towards the achievement of further qualifications desired

*Experience with a risk function

Desirable Qualifications and Experience

*L6 Advanced Diploma working towards Chartered Status

*J07 Supervision in a Regulated Environment

*Significant compliance experience within the financial services, preferably in an investment or insurance environment. An in-depth understanding of FCA/PRA regulatory expectations

*Experience working within a network, platform or product provider

This is a great opportunity to join an established team and career development and excellent benefits are on offer as well as working within a state-of-the-art office -

*Working hours are Monday to Friday 9am to 5:30pm

*Holiday entitlement starts at 22 days, rising to 25 days plus bank holidays (1 day with each completed year of service)

*Onsite parking (Horsham)

*Up to 5% matched employer pension contribution

*Private healthcare

*Death in Service which is up to 4 x basic salary

*Critical Illness Cover up to 2 x base salary

*Life Assurance

*Employees Shares Scheme: Eligibility after 1 year's continuous service, the number of shares available each year is decided by the board of Directors. There is no fee for the shares as they are a gift from the Company.

*Discretionary quarterly bonus available to every member of staff.

For further details please contact Marion at Insure Recruitment

Reference: 210424657