Risk and Compliance Manager
|Job Title:||Risk and Compliance Manager|
|Salary:||£30000 - £34000 per annum|
|Contact Name:||Chloe Kelly|
|Job Published:||December 14, 2018 17:39|
You will be responsible for ensuring that the business is fully compliant with the requirements of FCA,CCA, Anit -Money Laundering, Data Protection, ETC.
The hours are Monday – Thursday 08:30 – 5 and Friday 08:30 – 16:30
Dress code is Smart Casual with 25 days Holiday but bank holidays.
This will be a 1 stage interview with a start date of January / February and a salary of £30,000 - £34,000 depending on experience.
You will be:
- Pro-active management to ensure the business satisfies all of its regulatory requirements, to minimize any reputational risk to the business.
- Manage and maintain the ISO 9001 Quality Management system, and 27001 Information Security Management System to ensure accreditation is retained
- Implement processes to ensure the business meets all its responsibilities under Treating Customer Fairly.
- Design and deliver staff training sessions on Data Protection, Money Laundering, ISO 9001 and ISO 27001
- Continual improvement of the QMS, ensuring that evidence of corrective and preventive actions taken are recorded and reviewed.
- Manage the risk register and ensure the relevant controls are in place to manage key risks providing assurance to the Board by working directly with the Director responsible for Risk and Assurance.
- Maintaining an effective Business Continuity Plan
- Engender an ethos of continuous improvement and best practice across the business with regard to both client interaction and policies and procedures.
- Maintain accurate, detailed and up to date compliance records across all areas of the business.
- Preparation and execution of audits to ensure the business remains compliant, with a view to identifying improvements to existing processes to help build a stronger control environment and add commercial value.
- Mentoring, training and development of internal compliance auditors within the business
- Ensuring compliance related procedures and understanding are embedded across appropriate business areas.
- Manage any compliance issues, reporting to SMT when appropriate and production of a formal bi-annual report to the SMT.
- Advise on all compliance aspects in respect of new products/new business initiatives.
- Manage formal complaints process for the business, including technical disputes from customers liaising with the Financial Ombudsman, FCA, and solicitors when necessary.
- Preparation and management of internal ISO 9001 and ISO 27001 audits
- Strong FCA background while working in a financially regulated environment.
- ISO 9001 Internal Auditor qualified and experience of ISO 27001 would be beneficial and knowledge of regulated financial products
- Experience of implementing and maintaining Quality Management Systems
- Experience of undertaking audit and compliance checks to maintain procedural requirements
- Experience of reporting and presentation of audit findings
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