Compliance and Risk Department Manager
3 days ago
Role:
The role will be within the Risk and Compliance Department providing second line of defence to the business and reporting into the Head of Risk and Compliance. Responsibilities will include associate management, regulatory compliance advisory, risk management, internal and external audit activity and providing and maintaining up-to-date risk assessments and risk registers across the business.
Main Responsibilities:
Manage and deliver the operational Compliance and Risk function to ensure we meet all regulatory requirements and guidance through the ongoing review of existing processes, procedures and controls and enhancement of changes where required.
Maintain knowledge of ongoing regulatory change including the impact and the oversight of the production of timely briefing notes to senior management and business areas as required.
Provide day to day advice and guidance to the business on technical compliance matters.
Be responsible for the continual embedding of compliance policies, procedures and framework which require close collaboration with or execution by the business and in particular, Consumer Duty.
Oversight of the annual Compliance Monitoring Plan for the business which includes regulatory reporting, sampling and returns.
Deputise for the Head of Risk and Compliance and act as a designated contact point for the Financial Conduct Authority
Oversight for ensuring all annual and ad hoc regulatory reporting obligations are satisfied and completed by their due date.
Design, implement and embed an operational risk and control framework across the business.
Guidance and oversight for the 1st line of defence to ensure that the appropriate controls and QA are in place across the operational business.
Working with business units to deliver good customer outcomes across all daily activities.
Design and deliver training, to embed activity across the business that will strengthen control understanding and implementation.
Co-ordinate the production of regular, accurate and timely Management Information and act as deputy chair of the Risk and Compliance Committee.
Assist in the collation of reports where necessary to the wider group, including a Compliance Report for the Board of Directors.
Conduct compliance risk assessment processes to detect process gaps and inconsistencies.
Supervise the workload of the Compliance Department and be responsible for the management and personal development of the Compliance Associates
Have oversight of Compliance Breaches and Operational Incidents including managing escalation and reporting as required.
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