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Conduct Risk Assessment Specialist

2 months ago

London, Greater London, United Kingdom Barclay Simpson Full time
Job Description

Barclay Simpson is seeking a highly skilled Compliance Conduct Risk Manager to join their team in a pivotal role that ensures the organization effectively identifies, evaluates, and mitigates compliance risks while maintaining robust internal controls.

Key Responsibilities
  • Compliance Risk Assessment:
    • Identify Compliance Risks: Determine areas where the organization is at risk of non-compliance with legal and regulatory requirements.
    • Evaluate Risks: Assess the severity and probability of each identified risk, considering laws, regulations, and internal policies.
    • Prioritize Risks: Rank the risks to allocate resources effectively, focusing on the most significant risks.
    • Develop Mitigation Strategies: Create and implement action plans to reduce or manage high-priority risks.
    • Training: Provide bespoke training to ensure employees understand compliance risks and mitigation strategies.
    • Monitor and Review: Continuously monitor the effectiveness of mitigation strategies and adjust them as necessary to ensure ongoing compliance.
  • Control Framework:
    • Control Environment: Foster a positive attitude, awareness, and proactive actions among directors and management regarding the importance of the internal control system.
    • Risk Assessment: Lead the process for identifying and analyzing risks that may prevent the organization from achieving its objectives.
    • Control Activities: Develop and enforce policies and procedures to ensure management directives are effectively carried out.
    • Information and Communication: Establish systems and processes that support the identification, capture, and exchange of critical information in a timely and efficient manner.
    • Monitoring Activities: Implement processes to assess the quality of internal control performance over time.
  • Governance:
    • A small part of the role will focus on governance and regulatory engagement with the Financial Conduct Authority (FCA).
    Requirements
    • Experience at a manager level in a financial services risk role with regular interaction with senior decision-makers.
    • Proven experience in preparing insightful analysis and managing risk-related reporting processes for senior executive and board committees.
    • In-depth knowledge of the external environment, including economic, regulatory, and legal practices, trends, and expected developments, and their impact on enterprise risk management.
    • Experience in making risk decisions within a control framework, requiring analysis, judgment, and initiative, while strategically thinking about future direction.
    • Comprehensive understanding of tools, techniques, and methodologies used to measure and report on risk.
    • Good knowledge of various risk disciplines, such as compliance, operational, governance, and conduct, and their impact on business performance.
    • Strong communication and influencing skills with the ability to interact effectively with senior stakeholders.
    Salary and Benefits

The salary on offer is £90,000 - £110,000 basic, with a high level of flexibility offered, including two days in the office expected.