Compliance Risk Manager

3 weeks ago

London, Greater London, United Kingdom The Emerald Group Ltd, Search and Selection Full time
Job Overview

Position: Risk & Compliance Manager, Fixed Term Contract

Company: The Emerald Group Ltd, Search and Selection

Location: London

Purpose of the Role:

The Risk & Compliance Manager is responsible for overseeing the compliance framework across various jurisdictions, focusing on Financial Crime, Risk Management, and Data Protection.

Key Responsibilities:

Compliance Management:

  • Continuously monitor and assess regulatory developments relevant to the organization, ensuring awareness of potential legislative changes.
  • Evaluate compliance policies and procedures to ensure they align with the organization's size and complexity, meeting all regulatory standards.
  • Conduct reviews of compliance systems and identify areas requiring further investigation or follow-up.
  • Facilitate training sessions for new employees on compliance-related topics and internal policies.
  • Review and negotiate terms of business agreements with insurers and introducers.
  • Provide management information to stakeholders, including compliance activities and risk management updates.
  • Prepare and submit necessary reports and notifications to relevant regulatory bodies.
  • Establish protocols to ensure local compliance across various jurisdictions.
  • Assist in evaluating the regulatory landscape for clients in unfamiliar jurisdictions, ensuring compliant policy placement.

Financial Crime Oversight:

  • Review and update financial crime policies to ensure they are suitable for the organization's size and complexity.
  • Design and implement an internal reporting mechanism for Suspicious Activity Reports (SARs) and oversee the submission of external SARs to the National Crime Agency.
  • Incorporate financial crime considerations into the development of new products and service modifications.
  • Keep partners informed about money laundering risks associated with business activities and the strategies employed to mitigate these risks.
  • Implement and maintain a robust Know Your Customer (KYC) procedure.
  • Ensure relevant staff receive appropriate financial crime training and that training materials are current.
  • Maintain effective oversight of all outsourced functions.

Risk Management:

  • Review and enhance risk management strategies and operational risk policies.
  • Develop and maintain governance structures to support risk management.
  • Implement effective risk monitoring and mitigation strategies, including maintaining a risk register.
  • Ensure timely reporting of risk information to partners and the execution of necessary mitigating actions.

Data Protection Responsibilities:

  • Advise and challenge the organization regarding its obligations under data protection laws, contributing to the enhancement of privacy practices.

Required Skills:

  • Excellent communication skills.
  • Ability to foster strong working relationships within the organization.
  • Capability to work independently and collaboratively.
  • Experience in producing management information for committee and Board reporting.

Desirable Knowledge:

  • In-depth understanding of FCA regulations; knowledge of other regulatory frameworks is a plus.
  • Familiarity with data protection regulations, particularly GDPR.
  • Knowledge of financial crime regulations and the controls necessary to mitigate associated risks.

Experience:

  • Minimum of 5 years of experience in the UK Financial Services sector, particularly within the general insurance industry.
  • Degree-level education and/or relevant professional qualifications.

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