Senior Risk Officer

2 weeks ago

London, Greater London, United Kingdom Q Networkers Ltd Full time
Job Title: Senior Compliance Officer

We are seeking a highly skilled Senior Compliance Officer to join our team at Q Networkers Ltd. This role offers a unique opportunity to work with a dynamic organization and contribute to the delivery of good client outcomes.

The ideal candidate will have a deep understanding of regulatory requirements, including FSMA, FCA sourcebooks, LSE Rulebook, AIFMD, UCITS, and EMIR. They will also possess excellent interpersonal skills, judgement, and decision-making ability, as well as a determined and proactive approach.

Job Description:

The Senior Compliance Officer will be responsible for providing compliance advice and guidance to business stakeholders to facilitate delivery of good client outcomes, a compliant and risk-aware culture, and the Group's business model and strategy.

Responsibilities:

  • Compliance Monitoring:
  • Design and deliver a risk-focused Compliance Monitoring Plan, working with the wider Risk and Compliance team.
  • Complete thematic reviews in accordance with the annual compliance monitoring plan, using appropriate tools and methodologies.
  • Document the outcome accurately and in a timely fashion, and prepare close-out briefings to wider risk and compliance team and senior management.
  • Provide high-quality reports outlining the findings of assurance activity.
  • Track the resolution of issues identified and action points agreed, and escalate to line management where necessary.

Advice:

  • Provide high-quality and timely advice on propositional developments, new business opportunities, and regulatory change initiatives.
  • Respond to general queries raised by business stakeholders on the FCA Handbook and compliance-related policies and procedures.
  • Lead ad-hoc regulatory projects as directed by Risk and Compliance line management.

Breaches and Incidents:

  • Identify, investigate, and report on breaches and incidents, ensuring they are logged promptly and accurately in the Governance Risk & Control platform.

General:

  • Maintain up-to-date departmental procedures.
  • Support the coaching and development of more junior members of the Risk and Compliance department.
  • Embed a client and risk-focused culture across the Group.

Requirements:

  • A detailed knowledge and understanding of relevant regulatory requirements.
  • Experience of wealth management, fund management, suitability, and good client outcomes preferred.
  • Strong inter-personal skills, judgement, and decision-making ability.
  • At least 5 years of experience in a regulated company.

Salary: £72,000 per annum.

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