Compliance Risk Manager
4 days ago
Job Mission:
- Deliver a Compliance and Risk service to Outsourced Professional Administration Limited (OPAL) and its employees to ensure all relevant activities adhere to all appropriate regulatory requirements.
- Contribute to the Compliance team in association with the Head of Compliance and Risk to ensure procedures and services delivered adhere to the regulations that apply to a regulated financial services business.
- Ensure all relevant regulatory requirements are met during operational practice, including the FCA's Consumer Duty, Conduct Rules, and Principles.
- Monitor and brief Operational Teams on developing or crystallised regulatory risks, themes, and pronouncements as appropriate.
- Engage with clients to enhance OPAL's service in the delivery of critical or important functions.
- Participate in and contribute to the compliance culture of the broader management group of the businesses.
Principal Job Objectives:
- Ensure the Compliance function has appropriate regulatory engagement, procedures, and monitoring activity adequately support the mandatory requirements.
- Provide Compliance and AML oversight and Data Protection advice and guidance.
- Contribute to regulatory returns being completed accurately and in a timely manner.
- Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
- Ensure all day-to-day business as usual compliance breaches and complaints handling support is provided in a timely manner.
- Act as a second-line defence to identify and monitor risks and provide a feedback loop to the Head of Compliance and Risk and the Operational Practice of the business.
- Provide ad-hoc compliance training and coaching.
- Contribute to the Compliance Monitoring Plan to analyse the company's compliance with regulatory requirements, including FCA obligations, Data Protection, Fraud Prevention, and measures, Consumer Duty Basic Principles, and anti-money laundering.
- Contribute to and maintain OPAL's Breach Register, ensuring Breaches are reported and completed to a high standard and within the agreed SLAs.
- Contribute to and input to OPAL's complaint management service, including maintaining the OPAL clients Complaint Register.
- Analyse the causes of regulatory and procedural breaches and ensure that practical remedial actions have been taken to mitigate against future occurrence.
- Contribute to the operation of OPAL's PEP and Sanctions screening tool to satisfy the regulatory requirements of OPAL's clients.
- Review and maintain the Compliance Manuals of both firms (OPAL and SFPL).
- Escalate any ISO security risk within OPAL.
- Implement controls, document procedures, and complete risk assessment reviews as required.
- Ensure that any Compliance security breaches are completed within 24 hours as per the procedures.
Essential knowledge, skills, and experience required at recruitment:
- Minimum of 5 years' experience in Financial Services, preferably in the Investment and Life Protection sectors, with at least 3 years in the Compliance sector.
- Appropriate qualifications in financial services.
- Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally.
- Display sound and proportionate judgement.
- Display a commercial outlook.
- Awareness of the FCA handbook and data protection.
Additional Knowledge required to become fully competent:
- Good understanding of administration and systems within the companies.
- Familiarisation with the Life, Protection, Investment products.
- Understanding of our Client Relationships and Contractual obligations.
- Proficient in use of Word, Excel, PowerPoint.
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