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Risk and Compliance Manager

2 months ago

Edinburgh, Edinburgh, United Kingdom deverellsmith Full time
About the Role

We are seeking a highly skilled Risk and Compliance Manager to join our team at Deverell Smith. As a key member of our organization, you will be responsible for ensuring that our business operations are conducted in compliance with laws and regulations, professional standards, and accepted business practices.

Key Responsibilities:

  • 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.
  • Learning and Development:
    • 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).
  • Education and Qualifications:
    • Degree educated in a relevant discipline or an AML related qualification.
  • Experience and Technical Skills:
    • 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.
    • Experience gained in a client facing role.
    • Strong data analysis skills and ability to interpret data and produce reporting.
    • Intermediate PC skills in Microsoft Teams, Word, Excel, PowerPoint, and Outlook.
    • Knowledge of the residential sales and lettings processes within the Scottish & English markets.
  • Behavioural Competencies:
    • Customer focused.
    • Communication.
    • Collaboration.
    • Positive mindset.
    • Planning & Organisation.
    • Problem solving & Innovation.
    • Decision Making & Risk Management