Financial Services Advisor
1 day ago
Artemis Recruitment Consultants Ltd has an exciting opportunity for a Compliance Risk Manager to join their team. The ideal candidate will have experience in managing compliance risks and developing strategies to mitigate these risks.
Main Responsibilities:
- Develop and implement the company's compliance risk strategy, identifying and mitigating potential risks.
- Manage the company's T&C scheme, ensuring compliance with FCA requirements.
- Lead a team of supervisors to achieve required T&C outcomes.
- Arrange external T&C audits when necessary.
- Oversight of internal and outsourced file review processes, addressing complex issues as needed.
- Build strong relationships with advisers and support staff, balancing commercial needs with regulatory responsibilities.
- Develop and maintain control systems to ensure compliance with regulations and internal policies.
- Continuously evaluate and improve control systems.
- Review procedures, reports, and file checking processes.
- Identify potential compliance risks in future ventures.
Key Requirements:
- Proven experience in a compliance role within the financial services sector.
- Extensive knowledge of FCA standards and regulations.
- Excellent reporting procedures and record-keeping skills.
- Outstanding communication and interpersonal skills.
- Ability to work under pressure and meet deadlines.
- Solution-focused and service-oriented.
- Technologically adept and willing to adapt to new systems.
- Strong analytical and decision-making skills.
- Discreet and professional in all interactions.
- High emotional intelligence and effective listening skills.
- Self-motivated and adaptable.
Estimated Salary: £42,000 - £52,000 per annum, dependent on experience.
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