Compliance Risk Manager
1 month ago
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.
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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