Head of Risk
1 month ago
THE COMPANY:
Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.
THE RESPONSIBILITIES:
- Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and monitoring activity adequately support the mandatory requirements expected for these businesses.
- Provide Compliance and AML oversight and hold the associated FCA Senior Management functions SMF16 Compliance Oversight and SMF17 Money Laundering Reporting Officer
- Act as the Data Protection Officer.
- Ensure regulatory returns are completed accurately and in a timely manner
- Review and communicate relevant regulatory developments to ensure the businesses are prepared for and able to comply with any new requirements.
- To ensure all Director’s applications/or removals to the FCA are undertaken in a timely manner.
- Chair the Risk Committees, be responsible for the maintenance of the Risk Register and identify, monitor and mitigate risk through monthly meetings and distribution of Minutes to the Board and SARC. Report on Risk to the Boards.
- As owner of the Training and Competence Scheme, ensure (in conjunction with HR) that it is suitably documented and monitored annually.
- Maintain appropriate relationships with relevant regulatory organisations.
- Manage and carry out the Compliance Monitoring Plan in order to analyse the companies compliance with regulatory requirements including FCA obligations, Data Protection, Fraud Prevention and measures, Consumer Duty Basic Principals and anti-money laundering.
- Create and deliver annual compliance review programme ensuring reviews are undertaken in a timely manner.
- Maintain and govern Breach Register, ensuring Breaches are reported and remediated to a high standard and within the agreed SLA’s.
- Oversee and input into Complaint Management service.
- Analyse regulatory and procedural breaches and ensure that remedial actions have been taken to mitigate against future occurrence
- Own and monitor the operation of PEP and Sanctions screening tool to satisfy the regulatory requirements of clients.
- Maintain the Compliance Manuals.
- Produce and present quarterly compliance reports to the Boards.
- Assist in other compliance matters as directed by the Boards.
- Escalate any ISO security risk within the Business to the Chief Security Officer (CSO).
- Act as ISO security Risk Owner for Compliance and ensure ISO audits are completed accurately and on time in liaison with the CSO.
- To ensure all applicable laws attributable are reviewed and maintained in the ISMS at least annually.
- Implement controls, document procedures and complete risk assessment reviews as required
- Be responsible for the protection of assets detailed in the Consolidated Risk Register.
- Ensure that any Compliance security breaches are completed within 24 hours as per the procedures, escalating any residual risk to the CSO.
EXPERIENCE REQUIRED:
- Highly delivery-focused in getting the job done, consistently producing work outputs of a very high quality
- Strong interpersonal and communication skills and able to identify and build important strategic relationships internally and externally
- Inspirational communication style – both written and spoken, that builds confidence
- Strong experience in Financial Services, preferably in Investment and Life Protection
- Atleast 10 years in the Compliance sector
- Has proven experience in managing a small compliance team, working at all levels from daily sanction checks to reporting to the Board at senior level.
- Degree holder and appropriate qualifications in financial services
- Strong awareness of the FCA handbook and data protection
For further information please contact Duncan Jeffery
-
Senior Internal Auditor
2 weeks ago
Hertfordshire, UK, Eastern England, United Kingdom Audit & Risk Recruitment Full timeAudit & Risk Recruitment are partnering with a successful Hertfordshire based business to hire a Senior Internal Auditor to join their growing audit function. The business has grown rapidly and is involved in some of the UK’s largest infrastructure projects.What you will be doing:Working as part of a new team to deliver a broad range of financial and...
-
Head of Compliance
2 weeks ago
Hertfordshire, UK, Eastern England, United Kingdom FS Talent Group Full timeHead of Compliance (SMF16/17) – Wealth ManagementLondon / HertfordshireHybridCirca £150k Plus Bonus and BenefitsAbout the FirmA well-established and growing wealth management and advisory firm, with headquarters in the Southeast UK and multiple offices, is recognised as one of the leading companies in the industry. Over the past decade, the firm has...
-
Underwriter - BTL
2 weeks ago
Hertfordshire, UK, Eastern England, United Kingdom Altius Recruitment Full timeBTL Underwriter paying up to £60k basic salary plus bonus and generous wider benefits.About the Company:A fast-growing and dynamic financial services business that is reshaping its sector with innovation and a customer-centric approach. Known for its strong market presence and commitment to delivering tailored lending solutions, this organisation provides...
-
Compliance Manager
3 weeks ago
Hertfordshire, UK, Eastern England, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Compliance Manager on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the...
-
Head of Procurement
2 months ago
Peterborough, UK, Eastern England, United Kingdom Diligenta - a subsidiary of Tata Consultancy Services Full timeWho are Diligenta?Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do, and our aim is to transform our clients' operations. A business that has been described as ‘home’ by existing employees, we drive a culture that is...
-
Compliance Manager
2 months ago
Suffolk, UK, Eastern England, United Kingdom Austen Lloyd Legal Recruitment Full timeLegal Compliance Manager - SuffolkHead of Compliance Role - Legal Practice I am working with an highly regarded and successful Legal 500 firm, who are seeking a talented and experienced Legal Compliance Manager to join their management team We are looking for a Risk and Compliance Manager, ideally with Legal experience, looking to be at the forefront of the...
-
Chief Operating Officer
1 month ago
Essex, UK, Eastern England, United Kingdom Jonson Beaumont Full timeCentral Essex law firm have a new role for a COO, which offers an outstanding opportunity for the right candidate to utilise their skills as an effective leader and decision maker, embracing both operations and finance.Created to support the Managing Partner and Management Committee, you will oversee the management and administrative operations of the firm....
-
Human Resources Business Partner
3 weeks ago
Peterborough, UK, Eastern England, United Kingdom Anne Corder Recruitment Full timeBrand new role as Senior HR Business Partner, based in Peterborough or Coventry – a market leading organisation powered by a passionate team. We are looking to recruit a Senior HR Business Partner to help to establish “an outstanding place to work, to grow and to achieve great things”. You’ll work alongside the MD, the leadership team and people...
-
Safe & Legal Auditor
2 months ago
Norfolk, UK, Eastern England, United Kingdom Morrisons Full timeAbout The RoleWe are looking for a Retail Supermarket Safe & Legal Auditor to join our diverse team. The successful candidate will ensure our store’s operational compliance through the Safe & Legal audit programme, ensuring the company is protected from reputational risk and enforcement action (latter may incur unlimited fines and removal of licences to...
-
Healthcare Assistant
3 weeks ago
Peterborough, UK, Eastern England, United Kingdom Optical Express Full timeTitle: Healthcare Assistant Location: PeterboroughHours: 40 hours per weekSalary: £24,000 per annumOptical Express is focused on delivering exceptional patient care, outstanding clinical outcomes and continued investment in our people and technology.For over 34 years, millions of patients have trusted Optical Express with their eye care. As Europe’s...
-
Head of Information Security
1 month ago
Gloucestershire, UK, South West England, United Kingdom Maxwell Bond Full timeHead of consulting - Hybrid - Gloucestershire - £95,000Maxwell Bond have partnered with a consultancy who specialise in cyber risk management and are in an exciting period of growth and are looking to add a head of consulting to help deliver and manage projects within the MoD. For the nature of this work it is essential that you are able to obtain security...
-
Head of Health
1 month ago
Buckinghamshire, UK, South East England, United Kingdom Career Moves Group I BCorp™ Full timeJob : Head of Health & SafetyLocation: Multi Purpose Private Estate - South East England - 1 hour from LondonJob Type: Full-time, Fixed Term Contract - 5 days on siteSalary: Up to £ 85,000 pa depending on experienceWe have an exciting opportunity for a Head of Health & Safety for a multi purpose private estate based in South East England 1 hour from London....
-
Head of Portfolio Management
3 weeks ago
Kent, UK, South East England, United Kingdom CRS Full timeHead of Portfolio Management (Commercial/Commercial REF) - Ethical BankSalary: Competitive About the RoleOur client is a well-established Challenger bank who offer an alternative ethos centred around positive social value creation. The bank is ‘of the sector and for the sector’, 100% owned by charities and social purpose investors and dedicated to...
-
Head of Information Technology
2 weeks ago
West Sussex, UK, South East England, United Kingdom Socium - Teams Done Differently Full timeHead of IT -Hybrid - Up to £115k plus bonusMy client is Sussex is looking for a Head of IT to Maintain and develop the clients capability across both Applications and Infrastructure enabling the company to scale-up as it continues its global growth, both organically and via acquisition. To optimise ways of working and business’ processes through the use...
-
Head of Application Support
2 weeks ago
Merseyside, UK, North West England, United Kingdom Allied Bakeries | part of Associated British Foods plc Full timeABF is a multinational business with over 125,000 employees worldwide. The ABF Grocery division, of which we are part, contains a number of household name brands including Kingsmill, Patak’s, Blue Dragon, Raja Spices, Jordans and Dorset cereals, Ryvita and Silver Spoon.Our Grocery Service Centre, based near Liverpool, is a hub for transactional activity...
-
Head of Technology Portfolio
3 weeks ago
Buckinghamshire, UK, South East England, United Kingdom Stott and May Full timeHead of Technology PortfolioLocation: Milton Keynes (Hybrid – Onsite 2 Days/Week)Salary: £90,000 + 10% Bonus + Benefits (Total Package: £110,000)Are you a skilled leader with a passion for driving technology transformation? Do you thrive in complex environments, bringing structure and collaboration to deliver impactful results? This is an exceptional...
-
Head of Quality, Health
1 month ago
Somerset, UK, South West England, United Kingdom Allen & York Full timeAllen & York are delighted to be working with Prolectric, the UK's leading provider of Solar Street lighting and Solar only tower lights and Solar Hybrid power solutions. The company are in an exciting period of growth and now have a demand for a new Health & Safety, Quality Manager to lead the function and place Safety at the centre of the...
-
Senior Treasury Manager
2 weeks ago
Bristol, UK, South West England, United Kingdom Empirical Search Full timeWe have been mandated by one of Europe’s leading sustainable banks to find them a Senior Treasury Manager to be second in command of their highly regarded Treasury team. This is a permanent role and offers flexible hybrid working, typically this will require you to work from the Bristol based office at least 2 days per week.Role DescriptionLeads Treasury...
-
Bursar
3 weeks ago
Hampshire, UK, South East England, United Kingdom Sherfield School Full timeBursar RoleThis exciting leadership role offers a unique opportunity to guide Sherfield School through the next stage in its development and innovation while continuing with its commitment to be an outstanding, all-round academic, active, and creative school.The Bursar is responsible for the efficient and effective leadership and management of the School’s...
-
Head of Category
3 weeks ago
Surrey, UK, South East England, United Kingdom Mackenzie Jones Full timeHead of Category (Protein & Produce) Leading FMCG BrandSalary: £120,000 to £140,000 per annum + Car Allowance, Up to 30% Bonus, Pension, Healthcare, Life Insurance, and Holiday BenefitsLocation: Surrey – Hybrid (2-3 days office-based, up to 20% travel)Our ClientAn award-winning FMCG company with a strong presence across Europe, known for its iconic...