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Head of Conduct & Risk

Posted 26 January by Executive Stand By Ltd Easy Apply Ended

Head of Conduct & Risk

Conduct & Risk function providing leadership, support and Board level advice on all Compliance & Audit matters providing independent and objective assurance on the management of risk across all aspects of the business.


Expert knowledge of compliance and regulatory requirements across the FCA Handbook, industry compliance and legislation, specifically in relation to Consumer Credit

Advise the Board of Directors of risk and issues and provide clear and timely guidance on the impact on new regulations and process changes

Regulatory surveillance to assess the impact of key regulatory changes coming from the FCA, FOS, LSB & OFCOM and how the changes will impact on the business

Oversee and maintain compliance framework and ensure processes are fair, controlled and compliant

Build, embed and manage a robust, fit for purpose governance oversight structure

Promote a culture of proactive compliance in line with business strategies and objectives

Manage company relationship with the FCA and other regulators, facilitating visits and dealing with requests for information

A regulatory lead and first point of contact for internal and external compliance and audit matters

Oversee internal and external audits and engage input from key stakeholders to identify priority areas to ensure the business is compliant and operating in a safe environment

Ensure systematic reviews take place to include the conducting gap analysis, identifying areas of improvement and implementing remedial solutions

Build relationships with leaders across the business to understand issues and identify areas for improvement

Diligent quality control of the team’s monitoring plans on an ongoing basis by reviewing and approving the plans as they are developed and communicated to internal and external clients.

Create and maintain all corporate policies

Liaise as necessary with counterparts within group structure

Skills, Experience & Attributes
  • Proven management experience within a Compliance Management role within a Financial Services environment
  • A strong communicator able to influence, lead and inspire
  • In-depth knowledge of all regulatory and compliance areas pertaining to the company’s sectors of operation
  • Experience of the FCA Handbook and in-depth knowledge of regulated business will be a distinct advantage
  • A general knowledge of the financial services industry and how it operates i.e. products, institutions, which areas are regulated
  • A thorough and comprehensive knowledge of the UK and regulatory environment as it pertains to the collections, recoveries and customer contact environments
  • External Company Ambassador - attending meetings with clients, regulatory bodies and other businesses relevant to the role
  • Have a genuine passion for continuous improvement through building positive relationships with regulators and researching the compliance landscape
  • The ability to multi task, prioritise and deliver to deadlines in a pressurised environment
  • Experienced in the management of an ISO driven Compliance and Audit department an advantage but not necessary.

To apply please submit your CV

Required skills

  • Quality Control
  • Regulatory Requirements
  • Board Level
  • Institutions

Reference: 34014376

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