Risk and Compliance Manager - London

We have an opportunity for a Risk and Compliance Manager to join a St James's Place Practice based in Central London. You will be responsible for identifying and managing risk within the Practice, implementing risk management strategies and overseeing compliance procedures for the firm. This position can either be a 12 month FTC, or contracted daywork (paid by day rate).

Responsibilities:

·       Ensure the practice adheres to all applicable laws, regulations, and internal policies;

·       Monitor changes in relevant legislation and regulations, advising the practice on necessary changes to policies or processes;

·       Oversee internal audits to assess compliance and operational effectiveness;

·       Coordinate with relevant teams/bodies and manage inspections or audits as necessary.

·       Identify, assess and mitigate risks across the Practice;

·       Develop and Implement risk management strategies to minimise potential threats;

·       Conduct regular risk assessments and produce reports for senior management;

·       Maintain a risk register and ensure timely updates as new risks Identified

·       Ensure the practice is up to date and compliant with all licensing, CPD, regulatory and legislative requirements.

·       Continuously monitor and improve risk management and compliance processes.

·       Implement best practices to strengthen the organization’s overall risk posture.

Person Specification; required skills, knowledge and attributes;

·       Prior management experience within a regulated environment;

·       Experience of managing workflow, systems and procedures; 

·       Experience of project management;

·       Knowledge of relevant regulation and legislation;

·       Ideally Dip PFS or equivalent qualification;

·       Previous experience in risk management and compliance in financial services;

·       Experience in identifying, assessing and mitigating risk in financial services is essential

·       Strong knowledge If UK specific regulations;

·       Knowledge of relevant FCA regulation, Financial Services and Markets Act and GDPR;

·       Comfortable with/experienced in using electronic (client) data systems

 
If you would be interested in applying for this position then please get in contact with josie@artemisrecruitment.co.uk 

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