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Risk Manager, Horsham (CR-1211)

£45000 - £50000 Plus benefits
This is an exciting opportunity to join one of the UK’s most innovative Financial Services firms. The company are passionate about partnering with high-quality, forward thinking companies to provide innovative technology to streamline their infrastructure, growth capital to further develop the companies, or discretionary investment solutions to drive your proposition. Offering a tailored solution to deliver value to Financial Adviser firms and their clients.
General responsibilities:
  • Chair and contribute to risk committees and other committees within the Group
  • Keep up-to-date with regulatory and industry developments 
  • Assist the Group Compliance Director in managing risk throughout the business
  • Provide evaluation reports to the Compliance Director
  • Formulate gap analyses and action plans where required
  • Manage risk in respect of GDPR across the Group
  • Provide annual risk evaluations and annual risk reports
  • Undertake project work
  • Assist with documenting new procedures, systems and controls
  • Act as an internal policy owner for Group policies where deemed appropriate
  • Liaise effectively with senior management in respect of regulatory and commercial issues
  • Assist the Compliance Director in providing a timely response to requests for information, regulatory returns and other data gathering 
  • Assist in making all appropriate notifications to the FCA
Risk & GDPR Officer responsibilities:
  • Produce risk MI monthly 
  • Assist with the management of risks as identified through the committee structure
  • Track / coordinate actions and risk mitigations
  • Apply a risk-based and common-sense approach to the compliance risk management process
  • Undertake appropriate reviews of FCA outputs, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks
  • Produce analysis of internal procedural gaps and make suggestions of actions needed
  • Provide technical support throughout the Group’s businesses and to staff
  • Undertake internal reviews of process sufficiency and provide findings to the Compliance Director
  • Provide support to other areas of the Compliance Department 
Ad-hoc Responsibilities:
  • Take on tasks and projects as delegated by the Compliance Director, applying a can-do attitude and a timely approach to work outside that of technical interpretation 
  • Complete tasks to a high standard and apply initiative to accommodate for wider issues.
About You:
  • Minimum of level 4 Diploma in regulated financial planning (or equivalent), with significant progress towards the achievement of further qualifications desired
  • Experience with a risk function
  • Detailed knowledge of FCA rules and their interpretation/application
  • Understanding of risk and factors affecting risk within a financial services company
  • Ability to evaluate FCA handbooks and thematic outputs
  • Ability to interpret legal requirements and European directives
  • Ability to engage with and motivate others whilst remaining flexible/adaptable
  • Highly developed analytical, observational and communication skills
  • Understanding of technology and being comfortable working in a technology focused business
Desirable Qualifications and Experience:
  • L6 Advanced Diploma working towards Chartered Status
  • J07 Supervision in a Regulated Environment 
  • Significant compliance experience within the financial services, preferably in an investment or insurance environment. An in-depth understanding of FCA/PRA regulatory expectations
  • Experience working within a network, platform or product provider 
Job Role: 
Employment type: 
Employed (Full Time)
Financial Planning
Reference Number: