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Financial Services Conduct Risk Manager

2 months ago

London, Greater London, United Kingdom Barclay Simpson Full time
About the Role

Barclay Simpson is seeking a highly skilled Conduct Risk Manager to join their team in a pivotal compliance risk assessment focused role. As a key member of the organization, you will play a critical role in ensuring the effective identification, evaluation, and mitigation of compliance risks while maintaining robust internal controls.

Key Responsibilities

Compliance Risk Assessment:

  • Identify Compliance Risks: Determine areas where the organization is at risk of non-compliance with legal and regulatory requirements.
  • Evaluate Risks: Assess the severity and probability of each identified risk, considering laws, regulations, and internal policies.
  • Prioritize Risks: Rank the risks to allocate resources effectively, focusing on the most significant risks.
  • Develop Mitigation Strategies: Create and implement action plans to reduce or manage high-priority risks.
  • Training: Provide bespoke training to ensure employees understand compliance risks and mitigation strategies.
  • Monitor and Review: Continuously monitor the effectiveness of mitigation strategies and adjust them as necessary to ensure ongoing compliance.

Control Framework:

  • Control Environment: Foster a positive attitude, awareness, and proactive actions among directors and management regarding the importance of the internal control system.
  • Risk Assessment: Lead the process for identifying and analyzing risks that may prevent the organization from achieving its objectives.
  • Control Activities: Develop and enforce policies and procedures to ensure management directives are effectively carried out.
  • Information and Communication: Establish systems and processes that support the identification, capture, and exchange of critical information in a timely and efficient manner.
  • Monitoring Activities: Implement processes to assess the quality of internal control performance over time.

Governance:

  • A small part of the role will focus on governance and regulatory engagement with the Financial Conduct Authority (FCA).

Skills and Qualifications:

  • Experience at a manager level in a financial services risk role with regular interaction with senior decision-makers.
  • Proven experience in preparing insightful analysis and managing risk-related reporting processes for senior executive and board committees.
  • In-depth knowledge of the external environment, including economic, regulatory, and legal practices, trends, and expected developments, and their impact on enterprise risk management.
  • Experience in making risk decisions within a control framework, requiring analysis, judgment, and initiative, while strategically thinking about future direction.
  • Comprehensive understanding of tools, techniques, and methodologies used to measure and report on risk.
  • Good knowledge of various risk disciplines, such as compliance, operational, governance, and conduct, and their impact on business performance.
  • Strong communication and influencing skills with the ability to interact effectively with senior stakeholders.

Importance of the Role:

  • Compliance Risk Assessment: Helps the organization proactively identify and mitigate compliance risks, avoiding potential legal issues and financial penalties.
  • Control Framework: Ensures that there are adequate checks and balances in place to support effective management and governance, promoting transparency and accountability within the organization.

Salary and Benefits:

The salary on offer is £90,000 - £110,000 basic, with a high level of flexibility offered, including two days in the office expected.