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Compliance Risk Manager

2 months ago

Edinburgh, Edinburgh, United Kingdom deverellsmith Full time
Position Overview

As the Compliance Risk Manager at deverellsmith, you will play a pivotal role in ensuring that our operational practices align with applicable laws, regulations, and industry standards. Your commitment to ethical conduct will be essential in maintaining the integrity of our organization while implementing a robust regulatory framework encompassing policies, procedures, and systems.

Your proactive approach will keep you informed of evolving regulatory landscapes, allowing you to effectively brief the Executive Team on pertinent changes.

Regular reviews of our organizational risk assessments will be part of your responsibilities, collaborating closely with the Executive Team to adapt our risk profile as necessary. Your strong analytical, monitoring, and reporting skills will enable you to conduct thorough audits and prepare insightful reports for both Management and Executive Teams.

In your role, you will continuously seek opportunities to enhance and streamline compliance processes, thereby improving both customer and employee experiences. You will provide expert guidance to Management and frontline teams, ensuring adherence to compliance standards while minimizing unnecessary bureaucracy.

Your exceptional communication skills will facilitate the development of positive relationships with colleagues, professional contacts, clients, and customers. You will recognize the significance of fostering long-term professional relationships while ensuring that our regulatory obligations are met. Collaboration with frontline and Operations Teams will be key, as you offer expert support on all compliance and risk-related matters.

Translating complex regulatory information into clear, understandable terms for non-expert colleagues will be a critical aspect of your role. You will ensure that our regulatory training requirements are fulfilled through engaging onboarding processes, regular refresher courses, and tailored training sessions as identified by the teams. Your responsibility will include creating content that is relevant, engaging, and straightforward.

As the Compliance Risk expert, you will also serve as the Health & Safety Competent Person, Data Protection Officer, and the Nominated Person under Anti-Money Laundering legislation. You will conduct complex KYC and KYCB checks, collaborating with frontline teams and external professionals to facilitate these processes. Additionally, you will support the Finance Director and Chief Operating Officer with the application and renewal of insurances, professional licenses, and regulatory registrations, ensuring that all information remains accurate and current.

Key Responsibilities:

  • Establishing, monitoring, and maintaining a comprehensive regulatory framework.
  • Accountable for the documentation and regular review of policies and procedures.
  • Preparing and reviewing the Company Risk Assessment quarterly, identifying and implementing necessary changes with the Executive Team.
  • Ensuring that the Executive and Management Teams are aware of their regulatory responsibilities and the implications of non-compliance.
  • Designing and implementing audit and reporting procedures to monitor adherence to the regulatory framework.
  • Fulfilling the roles of Data Protection Officer and Nominated Person as defined by relevant regulatory bodies.
  • Maintaining the highest standards of integrity, confidentiality, and professionalism in all dealings.
  • Completing AML KYC and KYCB checks for escalated cases and overseeing checks conducted by teams.
  • Managing applications, renewals, and updates for insurances, professional licenses, and regulatory registrations.
  • Ensuring compliance-related content is current in legal documentation and agreements.

Learning and Development:

  • Providing a comprehensive training program for onboarding, annual refreshers, and ad hoc training needs.
  • Ensuring employees have access to up-to-date training, policies, and procedures via the company intranet.

Qualifications:

  • A degree in a relevant field or an AML-related qualification.

Experience and Skills:

  • A minimum of 5 years' experience in a Risk & Compliance environment, preferably within financial services or property sectors.
  • In-depth knowledge of Data Protection and Consumer Protection legislation.
  • Expertise in AML regulations and KYC/KYCB processes.
  • Experience in a client-facing role.
  • Strong data analysis skills with the ability to interpret data and generate reports.
  • Proficient in Microsoft Teams, Word, Excel, PowerPoint, and Outlook.
  • Familiarity with residential sales and lettings processes in the Scottish and English markets.

Behavioral Competencies:

  • Customer-focused
  • Effective communication
  • Collaboration
  • Positive mindset
  • Planning and organization
  • Problem-solving and innovation
  • Decision-making and risk management