Corporate Risk and Compliance Manager

2 weeks ago

Edinburgh, United Kingdom deverellsmith Full time

Our client is looking for a Risk & Compliance manager for their estate agency group in Scotland. The role can be hybrid with visits expected to the Edinburgh office. Broad knowledge in AML and data protection are essential, ideally in a small team or a stand alone function. As the Risk & Compliance Manager you ensure that we conduct our business processes in compliance with laws and regulations, professional standards and accepted business practices. You uphold the ethical integrity of our organisation and also ensure that our business activities are conducted using a regulatory framework of policies, procedures and systems. This includes (but is not limited to) Data Protection, Anti Money Laundering, consumer protection legislation, complaints handling and professional membership requirements & governance.
You are proactive at keeping up to date with changing regulatory requirements and briefing the Exec Team.
You review our company risk assessment on a regular basis and collaborate with the Exec Team to monitor our risk profile and adapt the risk assessment accordingly, identifying and implementing any necessary actions that result. You use your strong monitoring, analytical and reporting skills and your keen eye for detail to carry our regular audits and prepare reports for the Management and Exec Teams.
You continually look for opportunities to improve and streamline compliance processes, to further enhance customer experience as well as employee experience and efficiencies. You understand the importance of positive, long term professional and client relationships and take an approach when dealing with them, whilst ensuring our regulatory responsibilities are met. You work in collaboration with your colleagues in the frontline and Operations Teams, providing them expert support on all risk & compliance matters.

You take complex regulatory information and communicate it clearly and simply to non-expert colleagues. You ensure we meet our regulatory training obligations by providing a training for our on boarding process, regular refresher training and other bespoke requirements identified with the teams. You are responsible for making sure the content is engaging, relevant and straightforward.

You provide expert support to your colleagues in compliance roles within the frontline teams and are proactive in upskilling them in the relevant compliance knowledge. You ensure our teams can access up to date and clear information on policies, procedures and training via our intranet, supporting our company culture of self-help and proactive personal development.

As our Risk & Compliance expert, you fulfil the roles of Health & Safety Competent Person, Data Protection Officer and the Nominated Person under Anti Money Laundering legislation. You carry out escalated, complex KYC and KYCB checks, working closely with your colleagues in the frontline teams and external professional contacts (e.g., You support the Finance Director and Chief Operating Officer as required with the application and renewal processes for insurances, professional licences and regulatory registrations, ensuring information it accurate and up to date at all times.

Establishing, Monitoring & Maintaining Regulatory Framework
Accountable for the documentation of and regular review of an appropriate framework of policies and procedures
Accountable for preparing and reviewing quarterly the Company Risk Assessment, identifying, agreeing and implementing changes with the Exec Team
Accountable for ensuring that the Exec Team and Management Team is aware of their regulatory responsibilities and the risks and consequences of non-compliance
Accountable for the design and implementation of audit and reporting procedures to monitor our regulatory framework is being adhered and to enable effective control of the business processes
Fulfil the role of Data Protection Officer, as defined by the ICO, Nominated Person, as defined by HMRC AML guidelines, and effectively undertake the duties as set out by the relevant regulatory bodies
Maintaining the highest standards of integrity, confidentiality, and professionalism in all business and personal dealings
Accountable for completing AML KYC and KYCB checks for escalated cases and for overseeing and providing support for KYC and KYCB checks carried out by our teams
Responsible for completing applications, annual renewals and updates to insurances, professional licences and regulatory registrations, as required by the COO and FD
Accountable for ensuring compliance related content is kept up to date in our legal documentation and agreements e.g. terms of business, non-disclosure agreements, confidentiality agreements, residential leases etc

Accountable for providing a comprehensive, engaging training programme for onboarding, annual refreshers and training ad hoc needs
Accountable for ensuring employees have access to up to date training, policies and procedures via The Neighbourhood (intranet)

Degree educated in a relevant discipline or an AML related qualification

5 years' experience gained in a Risk & Compliance environment, ideally within a financial services or property related industries
~ Expert knowledge of Data Protection and Consumer Protections legislation
~ Expert knowledge of AML regulations and KYC / KYCB
~ Strong data analysis skills and ability to interpret data and produce reporting
~ Intermediate PC skills in Microsoft Teams, Word, Excel, PowerPoint, and Outlook
~ Planning & Organisation
Decision Making & Risk Management
AML
Risk & Compliance
Data Protection

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