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Compliance Risk Assessment Manager
2 months ago
Company Overview
Barclay Simpson is a leading investment bank committed to excellence in compliance and risk management. We are seeking a seasoned professional to take on a pivotal role within our compliance division.
Role Overview
The Compliance Risk Manager is essential in ensuring that our organization adeptly identifies, assesses, and mitigates compliance risks while upholding strong internal controls. This position will spearhead the creation and execution of compliance risk assessments and control frameworks, providing oversight and critical evaluation.
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, regulatory, and internal guidelines.
- Prioritize Risks: Rank risks to allocate resources effectively, concentrating on the most pressing concerns.
- Develop Mitigation Strategies: Formulate and implement action plans to address high-priority risks, including comprehensive compliance market reports.
- Training: Deliver tailored training sessions to enhance compliance awareness.
- Monitor and Review: Continuously assess the effectiveness of mitigation strategies and make necessary adjustments to ensure sustained compliance.
Control Framework:
- Control Environment: Promote a culture of awareness and proactive engagement among management regarding the significance of the internal control system.
- Risk Assessment: Lead the identification and analysis of risks that could hinder the organization from achieving its strategic objectives.
- Control Activities: Develop and enforce policies and procedures to ensure that management directives are effectively executed.
- Information and Communication: Establish processes that facilitate the timely exchange of critical information.
- Monitoring Activities: Implement mechanisms to evaluate the quality of internal control performance over time.
Governance
- A portion of the role will involve governance and regulatory engagement with relevant authorities.
Skills and Qualifications
- Demonstrated experience at a managerial level in a financial services risk role with regular interaction with senior leadership.
- Proven track record in delivering insightful analysis and managing risk-related reporting for executive and board committees.
- Thorough understanding of the external environment, including economic, regulatory, and legal trends, and their implications for enterprise risk management.
- Experience in making informed risk decisions within a control framework, requiring analytical thinking and strategic foresight.
- Comprehensive knowledge of tools and methodologies for measuring and reporting on risk.
- Strong grasp of various risk disciplines, including compliance, operational, governance, and conduct, and their influence on business performance.
- Excellent communication and influencing skills, with the ability to engage effectively with senior stakeholders.
Importance of the Role
- Compliance Risk Assessment: Aids the organization in proactively identifying and mitigating compliance risks, thus avoiding potential legal complications.
- Control Framework: Ensures that robust checks and balances are in place to support effective governance and management.
Compensation
The salary range for this position is competitive, reflecting the importance of the role and the expertise required.
Work Environment
We offer a flexible working arrangement, with a balanced approach to in-office and remote work.
