Senior Risk Officer . Our client based in Bristol at Emersons Green near the junction of the M4 and M32 ( so commutable from Bristol,Bath,Chippenham ) are experts in the compliance industry; focussing mainly on the Motor Trade and Travel . They have one of the UK's largest regulatory networks with many retail sites across the UK benefiting from a range of Finance and Insurance services.
By providing Appointed Representative status to their Customers, they shoulder the burden of compliance ( of being Directly Authorised by the Financial Conduct Authority (FCA) ) so their customers can concentrate on running their day to day businesses ; saving them time, money and stress.
5 years' experience of working within a Risk or Compliance role.
Adhere to the ethos of Treating Customers Fairly (TCF) in all work activity.
Completion of the companies Compliance Training program.
Completion of the ICA Certificate in Conduct Risk.
Good investigative and analytical skills including the ability to analyse processes and procedures against requirements and desired outcomes.
Ability to be able to critically review, and make judgements on, the compliance of written and oral communications against defined criteria.
Good organisational skills and ability to proactively manage workload.
Good written, oral communication and presentation skills.
Desirable Skills and Experience:
Experience of a retail insurance environment.
Experience of working with/for finance providers.
Understanding of the Motor and Travel industry sectors.
Understanding of how to use the FCA Handbook, and knowledge of the FCA requirements DISP, PRIN, SYSC, ICOBS, SUP and CONC.
Excellent computer skills.
Being able to work as part of a team.
Other significant Role Requirements:
Comply at all times with company principles, commitments and codes of practice.
Must achieve and maintain the Critical Competencies listed above.
Ensure awareness of, and adopt any changes in, regulatory practice.
Maintain a log of personal continuing professional development (CPD) and ensure a minimum of 15 hours a year is completed.
Report all failures to comply with requirements immediately to the Risk Manager.
Purpose of the role:
The company operate a three lines of defence model of risk management. The Risk function acts as the second line of defence, ensuring that the first line controls are effective. The Risk function is also responsible for completing 2nd line reviews on other business departments that focus on the risk of customer detriment, managing the incidents and breaches process, horizon scanning, controlling the network risk assessment, overseeing the network member onboarding process and handling regulated complaints. The Risk function consists of the Risk Manager, one Senior Risk Officer, and three Risk Officers, and report into the COO and ultimately the Risk Committee.
Second Line Reviews:
Onboarding of new Network Members:
Network Risk Assessment:
Standard Operating Procedures:
- Credit Risk
- General Insurance
- Risk Assessment
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