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My client is currently recruiting for an experienced Risk and Compliance Consultant to join their team in London near Bank underground on a contract basis.
Within this role you will be responsible for identifying, assessing and managing risk within the Practice. Ensuring adherence to regulatory requirements, industry standards and internal policies. Developing and implementing risk management strategies, overseeing compliance audits and coordinating with relevant teams to ensure compliance with legal and regulatory obligations.
You will be responsible for:
Risk Management• 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
Compliance• 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
Policy and Procedure Development• Develop, implement, and update risk management and compliance policies and procedures• Ensure that employees are trained on compliance issues and that they adhere to internal guidelines• Advise senior management on compliance risks and corrective actions
Reporting and Documentation:• Prepare and present compliance and risk management reports to senior management and stakeholders• Maintain comprehensive records of risk assessments, compliance audits, and corrective actions
Stakeholder Engagement:• Collaborate with internal departments to ensure alignment with compliance and risk management objectives• Liaise with external stakeholders such as regulatory authorities and auditors as required
Continuous Improvement:• Continuously monitor and improve risk management and compliance processes• Implement best practices to strengthen the organization’s overall risk posture
You will need to have prior management/ risk management experience and knowledge of relevant FCA regulation, Financial services and Markets Acts and GDPR.
Ideally, you will also have Dip PFS or equivalent qualification.
Should you have any questions or wish to apply please do not hesitate to contact Clear IT Recruitment Limited.Please Note: Due to the number of applications we receive we may be unable to respond to every application directly. If you have not heard from us within 3 working days please assume your application has been unsuccessful.
