Compliance & Risk Manager

Our client is a National Financial Services company specialising in the provision of regulated financial advice and wealth management and is looking to recruit an experienced and qualified Compliance and Business Risk professional.

This role, through implementing corporate policy regarding regulatory requirements, identifies and manages the key risks (and monitors low risks) within the Business Unit, and provides Risk Consultancy to the Senior Management team.  Its aim is to enhance the quality of advice provided by the company in keeping with the guidance provided by the FSA’s Treating Customers Fairly. Based out of offices near Tonbridge the role will also require regular field visits throughout Kent.

Key Accountabilities include:

• Implementation and maintenance of the required systems to ensure the Business Unit meets with the FSA’s objectives and the principles of good regulation.
• Facilitation of effective Risk Management processes across the Business through usage of the monitoring systems and controls in place to ensure risk processes are implemented and problems are identified and dealt with promptly.
• Provides guidance to Advisers on anti money laundering, consumer credit licences, data protection and company policy and procedures.
• Ensures the Senior Management team is kept informed of all emerging and managed risks within the Business Unit.
• Manages the branch Investigation process.
• Audits client money records.
• Manages complaints tracking, Adviser responses and trend analysis of complaints and implements methods of highlighting key issues to prevent further complaints.
• Supports, coaches and develops the Advisers and others within the team to improve levels of competency and professionalism via performance management.