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This is a HYBRID role, based in Milton Keynes 2 days a week and the rest from home, so an excellent opportunity to push your career forwards whilst having a huge level of flexibility!
As Risk and Compliance Manager, you will work closely with the Risk and Compliance Director on the following duties:
- Ensure compliance with the FCA Handbook including SYSC, PRIN, MCOB, DISP and SMCR.
- Provide expert regulatory guidance to the business on various compliance topics, including Consumer Duty, relevant MCOB rules, Data Protection, and Information Security.
- Develop and implement a comprehensive risk assessment framework to identify, assess, and mitigate compliance and conduct risks.
- Regularly review and update risk assessments to reflect changes in the regulatory environment and business operations.
- Policy management provide guidance on the development and implementation of internal policies and procedures related to QMLs products and services.
- Coordinate with internal reporting teams to ensure accurate and timely submission of regulatory reports through FCAs RegData portal and manage other online services, including Connect.
- Design and deliver training programs to enhance employee awareness of compliance and regulatory risks across the business.
- Develop and maintain a comprehensive compliance reporting system to track and report on compliance metrics and trends.
- Manage compliance with the Senior Managers and Certification Regime (SMCR), ensuring all relevant individuals are appropriately certified and that their responsibilities are clearly defined and documented.
- Manage and monitor relationships with third-party service providers to ensure compliance with regulatory requirements and internal policies including onboarding, due diligence and performance monitoring in line with our policies and SYSC requirements.
- Management of the Firms Intermediaries, including onboarding, broker monitoring and audits.
- Provide regular updates to senior management and the board on regulatory changes and their potential impact on the business.
- Develop and execute an annual compliance plan in collaboration with the Compliance and Risk Director, including themed reviews and ad-hoc assessments as necessary.
- Foster a collaborative environment to ensure a cohesive approach to risk management and compliance across the business. Regularly review and update the Compliance Monitoring Plan to ensure it remains effective and aligned with regulatory expectations. Ensure all financial promotions are clear, fair, and not misleading, and comply with all relevant regulatory requirements.
- Conduct root cause analysis on complaints, breaches and incidents to identify themes and improve policies.
- Develop and maintain a comprehensive incident management framework to ensure timely and effective resolution of compliance breaches.
- Lead and manage the Compliance and Risk team providing mentorship and professional development as needed.
Our ideal Risk and Compliance Manager would be:
- Analytical- able to analyse complex data and trends
- Have a high level of attention to detail
- Strong communication skills
- Able to lead and motivate a team
- Be effective with problem solving
- Work with a high level of integrity and ethical judgement
You will need to hold a Professional qualification in Compliance or Risk (e.g. ICA) and would be desirable to hold a degree in Finance, Business Administration, or similar and have at least 5 years worth of Risk and Compliance experience.
In return for your hard work as our new Risk and Compliance Manager, we are offering the following benefits:
- Competitive basic salary of up to £75k depending on experience
- A Hybrid working pattern of 2 days in the office with the team, and the rest from home
- Company performance related bonus of 10% of salary
- Private healthcare, death in service, and pension scheme
- 23 days paid holiday, plus bank holidays, PLUS 2 additional days paid over Xmas
This is an excellent opportunity to join a business with exceptional culture, a highly successful team, and a fantastic personal progression programme, so if you feel like you could thrive as our next Risk and Compliance Manager then we want to hear from you!
