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- Support the risk control and assessment processes by collecting and organising data, performing risk assessments, root cause analysis, and helping to identify potential risks and vulnerabilities all across the various business units.
- Maintain and update the risk register, liaising with the business units to ensure monitoring remediation and mitigation actions are completed in a proportionate and timely manner.
- Collaborate with the team to develop strategies and tactics for mitigating identified risks and enhancing the firm's overall risk management framework.
- Monitor and evaluate the effectiveness of the risk and compliance framework and policies, and recommend improvements as needed.
- Support with the production of regular and ad-hoc risk management reports for senior management.
- Assist in the preparation, review and maintenance of company policies, compliance documentation and manuals, reports, and records. Ensure these documents are current and aligned with regulatory requirements and industry standards.
- Support with the production of regular and ad-hoc reports to ensure awareness of regulatory issues for senior management.
- Horizon monitoring - keep abreast of changes in relevant regulations, industry standards and best practices, providing the Director of Group Risk and the business with timely updates on relevant developments and their potential impact on the Group, and assist in implementing necessary adjustments to policies and procedures. Includes, but not limited to HMRC, TPR, ICO, CIOT, SRA, DWP.
- Assist in compliance monitoring activities within the Group to ensure the processes and actions align with relevant regulations and internal policies. This may involve developing and maintaining a compliance monitoring programme through development of testing plans, execution of testing and reporting of findings.
- Assist in the coordination and delivery of audits. This may involve preparing documentation and evidence, as well as helping with the implementation of audit recommendations.
- At least two years of experience in a risk and compliance capacity in a rapidly growing company including some form of monitoring, checking or quality assurance, preferably in the financial services sector.
- Familiarity with GDPR, AML, TPR, FCA, HMRC, CIOT and SRA requirements.
- Relevant professional qualifications such as ICA, IRM, or CISI are advantageous.
- It is ideal if you have worked within a SSAS or SIPP environment for at least 2 years.
