Senior Risk and Compliance Professional

Job Title:

Compliance Manager

\
\
The role of Compliance Manager exists to enable the organization to safely achieve its strategic objectives and protect value; to support the growth and delivery of services and propositions to the quality our clients and regulators expect.
\
This role has been created in order to:
\
Reporting into a senior risk officer, this post sits within the second line of defence (2LOD) function and can shape the risk approach within the organization. This role will provide insight, oversight and challenge on risk matters.
\
The role has intensive stakeholder engagement both with the business and externally e.g., regulators, shareholders and clients.
\
Key responsibilities will focus on supporting the business with its immediate and ongoing Risk obligations. The role will require the provision of risk advice, business initiatives and engagements, as well as undertaking monitoring, oversight and advice to ensure appropriate compliance and risk management practices are adopted, implemented and embedded.
\
Specific Role Responsibilities
\
The position will provide management of Risk related matters to ensure that practices, systems and documentation comply with the law and regulation, contractual obligations and applicable codes of practice.
\
Develop approaches to address regulatory development and other risk change requirements.
\
Analyse new legislation, determine the impact on the organization and its customers and liaise with business partners to ensure successful implementation.
\
Deliver the Organization Risk Management Framework.
\
Represent risk at appropriate governance committees and boards.
\
Assist in the promotion of a positive risk culture throughout the organization through support, education and training to staff.
\
Development and management of annual compliance monitoring and assurance plans.
\
Provide advice, monitoring and challenge to key business stakeholders in implementing the Organization Risk Management Framework.
\
Engaging with colleagues on a global basis, to ensure consistency of approaches across all regions.
\
Clear, accurate and timely risk management information is delivered
\
Functional Area Responsibilities
\
Managing a team within the region risk function.
\
Managing team resources, planning and recruiting new staff as and when workload dictates.
\
Carry out staff performance reviews, identifying staff development and training needs and devising development programmes.
\
Champion the organization's goals and values.
\
Supporting the team's efforts to succeed.
\
Balance team and individual responsibilities.
\
Exhibit objectivity and openness to others' views.
\
Provide second line of defence advice, oversight and challenge.
\
Oversight of compliance with regulations and law, including Privacy and Data Protection.
\
Ensuring there is robust risk management in place for region significant and business critical change projects.
\
Experience Required
\
Primary requirements
\
In-depth knowledge of the financial services regulatory regimes.
\
5-10 years' experience in working at a senior level within a regulated environment.
\
Significant previous experience of proven leadership and managerial experience, with the ability to lead and develop teams.
\
Knowledge of applicable regional regulatory requirements.
\
Professional or industry relevant qualification.
\
Excellent knowledge of risk best practices.
\
Experience in engaging with regional regulators.
\
Experience in analysing complex risk issues and reporting.
\
Well-developed relationship management and interpersonal skills essential for managers in large institutions and a proven record of obtaining stakeholder buy-in across all levels of the business.
\
Strong communication skills to be able to engage directly with the business, clients and other external parties.
\
'Hands on' attitude, proactive 'can do' approach, and the ability to get the job done.
\
Ability to understand the commercial impact/benefits of regulatory and contractual compliance and risk obligations.
\
Excellent attention to detail.
\
Numerate.

---