Compliance Risk Assessment Manager

3 weeks ago

London, Greater London, United Kingdom Barclay Simpson Full time

Company Overview

Barclay Simpson is a leading recruitment consultancy specializing in compliance and risk management within the financial services sector.

Position Summary

We are seeking a Compliance Conduct Risk Manager to enhance our compliance framework. This pivotal role is essential for ensuring that our organization adeptly identifies, assesses, and mitigates compliance risks while upholding strong internal controls.

Key Responsibilities

Compliance Risk Assessment:

  • Identify Compliance Risks: Recognize areas where the organization may face non-compliance with applicable laws and regulations.
  • Evaluate Risks: Analyze the severity and likelihood of each identified risk, taking into account legal requirements and internal policies.
  • Prioritize Risks: Classify risks to effectively allocate resources, concentrating on the most critical threats.
  • Develop Mitigation Strategies: Formulate and execute action plans to address high-priority risks, including comprehensive compliance reports.
  • Training: Deliver tailored training sessions to enhance compliance awareness.
  • Monitor and Review: Continuously assess the effectiveness of mitigation strategies and modify them as necessary to ensure sustained compliance.

Control Framework:

  • Control Environment: Promote a culture of compliance and proactive engagement among management regarding the significance of internal controls.
  • Risk Assessment: Spearhead the identification and analysis of risks that could hinder the organization from achieving its objectives.
  • Control Activities: Design and enforce policies and procedures to ensure management directives are executed effectively.
  • Information and Communication: Create systems that facilitate the timely exchange of critical information.
  • Monitoring Activities: Implement processes to evaluate the quality of internal control performance over time.

Governance:

  • A portion of the role will involve governance and regulatory interactions.

Skills and Qualifications

  • Experience in a managerial capacity within a financial services risk role, with regular engagement with senior executives.
  • Demonstrated ability to prepare insightful analyses and manage risk-related reporting for executive and board committees.
  • Thorough understanding of the external environment, including economic, regulatory, and legal trends affecting enterprise risk management.
  • Experience in making informed risk decisions within a control framework, demonstrating analytical skills and strategic foresight.
  • Comprehensive knowledge of tools and methodologies for measuring and reporting on risk.
  • Solid understanding of various risk disciplines, including compliance, operational, governance, and conduct risks.
  • Exceptional communication and influencing skills, capable of effectively engaging with senior stakeholders.

Importance of the Role:

  • Compliance Risk Assessment: Enables the organization to proactively identify and mitigate compliance risks, safeguarding against potential legal repercussions.
  • Control Framework: Ensures robust checks and balances are in place to support effective governance and accountability.

Compensation: Competitive salary range offered.

Work Flexibility: A high degree of flexibility is available, with expectations for in-office presence on select days.

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