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

Location: London

Role Purpose:

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

Key Responsibilities:

Compliance:

  • Continuously monitor changes in regulatory requirements relevant to the organization and stay informed about potential future legislative shifts.
  • Evaluate compliance policies and procedures to ensure they align with the organization's size and complexity, meeting all regulatory standards.
  • Assess compliance systems and identify areas requiring further investigation or follow-up.
  • Conduct training sessions for new employees on compliance-related topics, policies, and procedures.
  • Review and establish new terms of business agreements with insurers and introducers.
  • Provide management information to partners regarding compliance activities, legislative updates, and risk management.
  • Prepare and submit periodic reports and necessary notifications to relevant regulators.
  • Develop protocols and procedures to ensure local compliance across various jurisdictions.
  • Assist in reviewing the regulatory framework for clients in unfamiliar jurisdictions and establish compliant procedures.

Financial Crime:

  • Evaluate financial crime policies and ensure they are suitable for the organization's size and complexity while meeting regulatory requirements.
  • Design and implement an internal reporting process for Suspicious Activity Reports (SARs) and oversee the submission of external SARs to the National Crime Agency (NCA) when necessary.
  • Incorporate financial crime considerations into the development of new products or service modifications.
  • Keep partners informed about money laundering risks associated with the business and its activities, along with management strategies.
  • Review and implement a Know Your Customer (KYC) procedure.
  • Ensure relevant staff receive appropriate financial crime training based on their roles and that training materials are current.
  • Maintain effective oversight and control over all outsourced functions.

Risk Management:

  • Review and monitor strategies and policies related to risk and operational risk management.
  • Develop and maintain appropriate governance structures.
  • Ensure effective risk monitoring and mitigation approaches, including maintaining a risk register.
  • Report relevant risk information to partners and implement necessary mitigating actions.

Data Protection:

  • Advise and challenge the business regarding its obligations under data protection legislation, contributing to the overall maturity of privacy practices.

Required Skills:

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

Desirable Knowledge:

  • Strong understanding of FCA regulations; knowledge of other regulatory frameworks is a plus.
  • Familiarity with data protection laws, particularly GDPR requirements.
  • Knowledge of financial crime regulations and typical controls for risk mitigation.

Experience:

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

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