Risk & Compliance Manager
Permanent - Full TimeJob Overview
Purpose: As part of the Risk & Compliance (“R&C”) team, assist in embedding a firm-wide risk & compliance culture by demonstrating the highest levels of integrity whilst raising awareness of regulatory compliance and risk.
Where appropriate act in an advisory capacity working closely & proactively with service lines to develop & maintain a comprehensive & robust R&C framework that continually evolves.
Key Responsibilities
- Assist the R&C team and Enterprise Risk Management Committee (“ERM”) to embed a risk & compliance focused culture across the firm.
- Assist in developing & maintaining risk, compliance & regulatory awareness across the firm.
- Assist in establishing & maintaining the firm’s strategic risk registers.
- Provide practical, effective & business focused risk, compliance & technical advice to the Partners, Directors & service lines.
- Assist in analysing laws & regulations, identifying key changes, assessing the likely impact & provide guidance on appropriate actions.
- Assist in the maintenance, review & update of all R&C policies & procedures at least annually.
- Assist with developing & delivering technical compliance training.
- As required, prepare the monthly ERM meeting packs.
- Assist with identifying additions & improvements to the Compliance Monitoring Programme (“CMP”), undertake relevant monitoring tasks & produce comprehensive results-based reports.
- Assist in maintaining regulatory registers on behalf of ERM (complaints, avoidable/unavoidable losses, breaches).
- Lead projects to improve standardisation of policies, procedures & form-sets.
- Lead ad-hoc project work as required.
- Ensure all sanctions & other relevant notices are reviewed & actioned as appropriate.
- Monitor the Compliance mailbox to ensure email traffic is dealt with in a timely & efficient manner.
- Act as Line Manager for the R&C administrators.
Skills, Knowledge and Expertise
- Has excellent interpersonal and communication skills and confidence to deal with people at all levels and to build supportive relationships with different service lines across the firm.
- Ability to work with the business to achieve its goals within the relevant regulatory regimes.
- Makes commercial business decisions and is resilient in the face of resistance.
- Has excellent attention to detail and accuracy and the ability to resolve queries and issues confidently and successfully.
- Has good time management and organisational skills with a pragmatic, solutions focused approach.
- Is able to work independently.
- Maintains the highest professional standards to ensure the firm is not in a position of risk.
- Confident individual with a proactive attitude.
- Able to multi-task and keep calm under pressure.