Risk & Compliance Assistant - Regulatory, Monitoring
4 weeks ago
Our client is a modern and established Fintech lender which has recently taken over a Mortgage business and the objective of this role is to embed their risk and compliance into the existing business. Once the Interim role and the business integration is completed (9-12m) there is potential for the role to be become permanent. The role is hybrid 2 days per fortnight in either Oxford or Leeds office.
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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