Compliance Risk Manager

1 month ago


Chester, Cheshire, United Kingdom Aimée Willow Connex Full time

Aimée Willow Connex seeks a seasoned Compliance Risk Manager to oversee the firm's compliance framework, ensuring adherence to regulatory requirements and fostering a positive compliance culture.

Job Description:

We are looking for a highly experienced professional with extensive knowledge of the relevant regulatory landscape, particularly FSMA, CCA, and FCA Handbook provisions.

Key Responsibilities:
  • Collaborate with the Chief Risk & Compliance Officer/MLRO to maintain the firm's compliance posture, focusing on SMCR, Consumer Duty, and FSMA regulated activities.
  • Spearhead the development and monitoring of first-line defence controls within the risk and compliance framework, supporting the delivery of the Non-Financial Risk management framework and Enterprise Risk management framework.
  • Ensure effective whistleblowing framework implementation, protecting staff confidentiality and facilitating open communication channels.
  • Maintain awareness of regulatory changes, assessing their impact on the business and leading project implementations as needed.
  • Evaluate, identify, and address policy and procedure updates to ensure alignment with regulatory demands.
  • Contribute to assessments verifying the integrity of compliance policies and controls, completing internal risk assessments where necessary.
  • Provide senior management with reports detailing current, emerging, and thematic risks, promoting staff familiarity with compliance procedures.
  • Oversight of regular compliance monitoring according to FCA standards, guaranteeing company compliance with current regulations.
  • Participate in product reviews and new product creation, ensuring governance adherence.
  • Verify financial promotions' compliance, clarity, and fairness.
  • Offer training support and advice across the business, ensuring all staff meet training and competence requirements.
  • Input on FCA regulatory reporting and act as point of contact with regulatory bodies when required.
  • Identify and manage risks specific to the business, submitting periodic reports to Senior Management highlighting compliance priorities and risks.
Requirements:

We require a candidate with commercial acumen, decision-making ability, and risk consideration skills, along with essential senior compliance officer experience.

Benefits:

This role offers the opportunity to work with a forward-thinking company like Aimée Willow Connex, driving compliance excellence while fostering personal growth.



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