Conduct Risk & Compliance Manager (9 month FTC)
Our client is a well-respected Financial Services business who are looking to recruit a Conduct Risk & Compliance Manager on a 9 month fixed term contract. In this role you will undertake testing and monitoring in line with 2LoD annual plans, ensuring alignment with Internal Audit. Provide guidance, advice and support to first line, to ensure compliance with policies, procedures and key activities consistent with the operating model and helps raise professional standards across the business.
- Support the Head of Conduct, Legal & Compliance (HCL&C) with management of all compliance and risk control framework activities across the firm.
- Support the horizon scanning activities (external and internal), ensuring that all legislative and regulatory changes are identified, with appropriate actions implemented in a proportionate and timely manner.
- Support the Head of Risk and Operational Resilience (HR&OR) in implementation of the respective annual testing and monitoring plans.
- Prepare accurate and comprehensive reports in a timely manner detailing key findings, identifying any systemic risk issues and common themes. These should inform, educate and assist understanding across the business and support committee decisions.
- Deliver all aspects of support to both HCL&C and HR&OR to ensure rigorous oversight and control of the Risk function.
- Support the maintenance and timely review of all allocated policies and procedures consistent with risk appetite.
Required skills and experience
- Experience of working in a compliance and regulatory role.
- Experience of compliance monitoring and oversight
- Up to date and working knowledge of all relevant legislation and regulation not limited to but including the FCA, CCA, BCOB, CONC etc
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