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Compliance & Risk Manager

£60000.00 - £70000.00 per annum

City of London, Greater London

MW Appointments

ompliance & Risk Manager

City & Home hybrid working

Salary : £60,000 to £70,000 + annual bonus & benefits

Type : Permanent


Sitting within the second line risk team this role is required to support the Head of Risk and Compliance and work with all members of the team.

The core purpose of the role is to be engaged in all aspects of partnering the business and providing insightful compliance risk expertise, reporting as required and contribute to all aspects of the Risk management Framework. The ability to be engaged across multiple areas and translate risk and compliance for the business is vital.


The individual will be expected to review and maintain the Compliance Policies, training and risk framework and support by giving assurance over the effectiveness of the processes in place to support regulatory compliance this will include having regular reporting and metrics to measure conformance to standards. In addition as the Compliance lead its essential to build strong relationships with stakeholders from the various businesses across all lines of defence to build greater understanding of compliance requirements and interpret these , in particular:

* Mange the regular review of the Compliance Risk Framework and polices, including delivering clear and concise internal policy updates on a regular basis.
* Identification of training needs, maintain and deliver all training requirements including maintenance of the online compliance training modules
* Maintain a regular review of what tools are in place to support the recording of ; Gifts & Hospitality, compliance breach log. Ensure the tools are effective and well understood and reviewed regularly.
* Support functions in understanding the regulatory markets of the companies that it supports and assessing the impact on contracted services
* Provide assurance to Executives on compliance with relevant regulatory requirements and exposure to new and emerging risk areas
* Lead and execute compliance monitoring reviews from beginning to end.
* Monitor regulatory change against the risk profile to identify emerging risks, contributing to robust and effective compliance controls within the organisation
* Delivery gap analysis, as required against the Compliance Polices and framework.
* Investigate irregularities and non-compliance issues
* Educate wider stakeholders on regulatory matters and the impact of poor compliance.
* Support and co own the monthly training group to discuss training needs and review content for all compliance policies and frameworks.

Risk Management

The individual will be expected to support the following team activities relating to risk management:

* Provide risk assessments to understand risk level, significance and scope whilst offering second line assurance and effective challenge
* Ensure risks identified are adequately documented, reviewed, reported and managed with cost effective and proportionate controls to mitigate those risks across the enterprise
* Ensure the approach to risk management complies with best practice, meeting applicable regulatory and legislative requirements, and is agile to respond to changes in business risk appetite
* Ensure that risk management activity aligns to the appetite of the relevant insurance businesses which it supports, escalating areas of concern where necessary
* Challenge and oversight of functional teams to ensure control assessments are adequately performed and that effective controls and/or plans are in place

What you will need to bring

* In-depth knowledge of the UK financial services regulatory and legislative agenda (FCA and PRA)
* Ability to interrogate complex risk & compliance policy wording and write internal policies
* Partnership working and working across Business units
* Compliance and Risk delivery expertise within a multi-stakeholder environment
* Results and delivery focus; a drive to continuously seek efficiency improvements
* Good interpersonal and presentation skills

Ref ~ 8532

MW Appointments is acting as an Employment Agency in relation to this vacancy.

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