Risk and Compliance Manager

1 week ago

Edinburgh, Edinburgh, United Kingdom deverellsmith Full time
Job Title: Risk and Compliance Manager

Deverell Smith is seeking a highly skilled Risk and Compliance Manager to join their team. This is a hybrid role, with regular visits to the office expected.

About the Role
  • Ensure the company conducts business processes in compliance with laws and regulations, professional standards, and accepted business practices.
  • Uphold the ethical integrity of the organisation and ensure business activities are conducted using a regulatory framework of policies, procedures, and systems.
Key Responsibilities
  • Establishing, Monitoring & Maintaining Regulatory Framework
    • Accountable for the documentation and regular review of an appropriate framework of policies and procedures.
    • Accountable for preparing and reviewing the Company Risk Assessment, identifying, agreeing, and implementing changes with the Executive Team.
    • Accountable for ensuring the Executive Team and Management Team are 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 the regulatory framework and enable effective control of 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.
    • Maintain 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 the teams.
    • Responsible for completing applications, annual renewals, and updates to insurances, professional licences, and regulatory registrations, as required by the Chief Operating Officer and Finance Director.
    • Accountable for ensuring compliance-related content is kept up to date in the legal documentation and agreements.
  • 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 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 and 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 and English markets.
  • Behavioural Competencies
    • Customer-focused.
    • Communication.
    • Collaboration.
    • Positive mindset.
    • Planning & Organisation.
    • Problem-solving & Innovation.
    • Decision Making & Risk Management.

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