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Conduct & Risk Manager

Posted 4 January by MERJE Ltd Ended

Our client is a leading financial services business who are currently recruiting for a Conduct & Risk Manager. The key purpose of the role is to provide conduct risk advice, guidance and 2nd line challenge to the business ensuring regulatory standards and procedures are adhered to.

Key Responsibilities:

  • Take lead responsibility for regulatory quality assurance activity in relation to first line business activity, in order to demonstrate that the firm is operating in accordance with relevant regulations and best practice
  • Prepare reports to communicate the outcome of quality assurance activity in 2nd line of defence
  • Conduct customer outcome quality assurance reviews to monitor adherence to internal procedures and agreed scorecards, highlighting any training needs
  • Manage the Compliance Monitoring Plan, conducting compliance monitoring activities scheduled in the Plan or as required and report monitoring findings to the relevant parties
  • Provide robust oversight of the risk management frameworks ensuring all risks and controls are documented and reviewed in line with plans
  • Oversee risk events and issues to ensure that adequate corrective and preventative measures are implemented and appropriate reporting is conducted
  • Responsible for the development and production of high quality, accurate and relevant management information within the Conduct & Risk Team

Key Requirements-

  • Strong FCA regulatory knowledge Compliance experience
  • Awareness of and the ability to review and interpret regulations
  • Experience in Monitoring / Quality Assurance

Reference: 34140733

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