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8 months ago
Support Services Group (SSG)
Salary: + excellent benefits
Location: Bedfordshire, East Midlands, Leicestershire, Northamptonshire
Job type: Permanent
Contact: Esther Greenwood
Category: Banking Jobs

The Company:

We are recruiting for Risk and Compliance Manager for a prestigious Bank based in the East Midlands

You will be reporting in to the Chief Risk Officer, the primary responsibility for provision of credit & financial risk and compliance oversight of the Bank. This is an exciting opportunity to join a growing business, where you will get the chance to develop policies, risk profiles, structures and frameworks whilst providing oversight and control of the bank and its subsidiaries.

The Job:

The role will be key to the development and growth of the Risk & Compliance function.

  • Regulatory Risk or Compliance experience gained within a bank or asset finance business
  • Good knowledge of FCA/PRA regulations including but not limited to SYSC rules, COBS, Conduct, Treating Customers Fairly, AML, Payment Services Directive
  • Experience of banking/asset finance products together and ideally some wealth & investment product knowledge.
  • Experience advising and liaising with senior management and stakeholders
  • Proven track record of providing risk oversight in banking/asset finance
  • MLRO and financial crime experience would be an advantage
  • Knowledge of Asset Financing would be an advantage

Key responsibilities:

  • Developing the annual Compliance Monitoring Programme (CMP) and keeping it up to date in accordance with regulatory and internal changes.
  • Performing compliance monitoring reviews in line with the annual CMP to test all internal processes against the FCA and PRA rules as well as company policies.
  • Reporting findings back to the business and sharing those with the compliance function.
  • Writing compliance reports for senior management, clearly articulating the findings and suggesting appropriate remediation actions.
  • Engaging proactively with action owners and business stakeholders to influence effective and timely completion of remedial actions.
  • Working with the Chief Risk Officer to ensure that current policies and procedures are in line with the current regulatory requirements and ensure the continuous improvement of the Risk & Compliance function.
  • Supporting the Chief Risk Officer in areas of regulatory risk and other general compliance matters.
  • Supporting the Compliance function in promoting risk and compliance awareness across the business.
  • Keeping up to date with regulatory changes.
  • Provide best-practice and aligned regulatory advice to enable its future growth strategy.
  • Support the risk based CMP, including undertaking monitoring activities.
  • Be well aware of all relevant regulatory rules as set by the FCA/PRA standards for example MIFID II, PSD, COBS, TCF and AML etc.
  • Deliver relevant and well informed advice to the business relating to the operational risks and regulatory compliance
  • Provision of Asset Finance risk oversight
  • Development and implementation of Control Risk Self-Assessment
  • Perform 2nd line risk assessments to understand the level, significance and scope of risk

Skills Required:

  • Possess previous relevant risk and compliance experience within a Financial Services sector
  • Have a detailed understanding of the regulatory and legal framework - this is imperative to the success of the role will be acting in an advisory capacity to the business and liaising with the Risk and Compliance function advising both parties on the intricacies of live business against the complexities of the risk and compliance frameworks
  • Possess high communication skills and be able to take ownership and take leadership
  • Excellent understanding of UK risk and compliance requirements and best practices. In particular Credit Risk, Financial Risk and AML
  • Analysis and problem solving

To discuss this role and your experience please send your CV to Esther Greenwood at Satarah Recruitment or call for a confidential discussion.

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