Risk & Compliance Officer
4 weeks ago
You will be reporting to the CRO with liaison with the legal, risk and compliance and integration teams as well as external stakeholders and UK Regulators.
As a Risk and Compliance Officer, you will be expected to demonstrate strong organisational skills and in-depth technical knowledge when undertaking designated activities and tasks. This role has a specific focus on leading the integration of a Mortgage Business and their Risk and Compliance Frameworks as part of the broader business integration activity. You will provide support to the UK CRO and will have support from a Risk and Compliance Analyst although there are no direct reports.
Responsibilities of the Risk and Compliance Officer
* Supporting the UK CRO in the enhancement of UK Risk and Compliance activities by transitioning the new mortgage business into the existing Frameworks; most notably by ensuring that the related Risk Appetite Statement / KRIs, Risk Profile / Risk Register / Key Controls, and Monthly Governance / Reporting are aligned, in place and operating effectively.
* Review of Group and UK Policies / other ‘Documents of Record’ to ensure they are suitable and appropriate for adoption
* Inclusion of the new business in the UK Annual Compliance Monitoring Plan;
* Creating and maintaining a Compliance Obligations Register as well as a Risk and Control Self-Assessment (RCSA) process
* Ensuring alignment and effective Business Continuity and Disaster Recovery documentation is in place, including Operational Resilience (if applicable);
* Third party risk management
* Providing oversight and challenge to ‘First Line of Defence’ colleagues to identify and mitigate the risks for which they are responsible.
Requirements of the Risk and Compliance Officer
* At least 5 years’ experience in the application of risk management, compliance and/or internal audit frameworks within a UK Financial Services / FinTech or Legal environment.
* Ability to deliver multiple initiatives / projects simultaneously and autonomously with a sense of urgency.
* Polished written and oral communicator across management and executive levels of the organisation.
* Good understanding of FCA and/or CLC / SRA regulatory requirements, as well as Data Protection / GDPR regulations relating to the Mortgage Market
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