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

Assignment Number: 27939

Location: London

Role Purpose and Key Responsibilities:

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

Compliance Duties:

  • Continuously monitor and assess changes in regulatory requirements relevant to the organization.
  • Evaluate compliance policies and procedures to ensure they align with the business's size and complexity, meeting all regulatory standards.
  • Conduct reviews of compliance systems and procedures, identifying areas for improvement.
  • Facilitate new employee orientations and training sessions on compliance topics.
  • Review and negotiate terms of business agreements with insurers and intermediaries.
  • Provide management information to partners regarding compliance activities and risk management.
  • Prepare and submit necessary reports and notifications to regulatory bodies.
  • Establish protocols to ensure local compliance across different jurisdictions.
  • Assist in navigating regulatory frameworks for clients in unfamiliar jurisdictions.

Financial Crime Responsibilities:

  • Assess and refine financial crime policies to ensure they are suitable for the business's scale and complexity.
  • Develop 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 new product development and service modifications.
  • Keep partners informed about money laundering risks and mitigation strategies.
  • Review and implement Know Your Customer (KYC) procedures.
  • Ensure staff receive appropriate financial crime training based on their roles.
  • Maintain oversight of all outsourced functions related to financial crime.

Risk Management Duties:

  • Monitor and evaluate risk management strategies and operational policies.
  • Develop governance arrangements to support effective risk management.
  • Implement a robust approach to risk monitoring, including maintaining a risk register.
  • Report relevant risk information to partners and ensure necessary actions are taken.

Data Protection Responsibilities:

  • Advise the business on its obligations under data protection laws and contribute to enhancing 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 reporting purposes.

Desirable Knowledge:

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

Experience Requirements:

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

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