RD Financial Recruitment

Compliance & Risk Department Manager

Bracknell, Berkshire
20 Feb 2018
22 Mar 2018
Seniority Level
Head Of
Contract Type
Full time, Permanent

Compliance & Risk Department Manager – Bracknell - Permanent - £60-70k + excellent benefits

An exciting and challenging opportunity for an experienced Compliance & Risk Department Manager to join a global brand based in Bracknell.

In a highly regulated environment the role will be operational and varied, involving areas of Risk Management (procedures & policies), Group Corporate Governance, Financial Conduct Authority (FCA) reporting and consumer credit regulation.

Excellent relationship skills are required as the key contact with external regulators and legal partners as well as internal business stakeholders and corporate compliance functions.

Reporting to the Operations Director the Compliance & Risk Department Manager will have experience in regulatory compliance gained in a consumer credit environment.

Main Responsibilities:

  • Manage and motivate the Compliance & Risk Manager
  • Business Continuity Planning and Testing as advised by Group
  • Manage the annual SOX and Group Corporate Governance audit processes, through to sign off, and completion.
  • Business Monitoring and oversight of adherence to regulatory/legal obligations such as Anti Money Laundering (AML), Data Protection Act (DPA)
  • Chair the monthly Risk Committee and maintain the company Risk Register
  • Coordinate, Compile and submit the 6 monthly Retail Mediation Activities Return (RMAR) report to the FCA accurately and within the stipulated timeframes
  • Ensure the company details on the FCA Register is up to date at all times
  • Compile and submit Approved Persons applications to the FCA as required
  • Attend FLA Fraud, Regulatory Reform and Compliance forums and CiFas Business Sector Working Party (BSWP) Meetings.
  • Ensure reporting to outside agencies is completed
  • Provide all departments with intelligent legal and regulatory support and guidance.
  • Ensure the Senior Management Group (SMG) are kept appraised of developments in the regulatory landscape 
  • Assisting in regulated customer complaint handling.
  • Oversee the development and maintenance of departmental policies and procedures.
  • Conduct annual training to staff in the areas of Fraud AML and DPA.
  • Liaise with legal function and Legal Firms on regulated matters.
  • Manage the approval process for financial promotions and be primary approver.

Qualifications, skills and experience required:

  • Be able to demonstrate a highly organised accurate approach to your work.
  • Be approachable and viewed by the business as a subject matter expert.
  • Have a good understanding of, and be able to interpret, the rules and guidance of the relevant FCA sourcebooks (CONC, SYSC, PERG, DISP)
  • Self-starter that can be relied upon to ensure objectives are achieved to deadline.
  • Effective Communicator at all levels.
  • Good people manager
  • Good knowledge and use of Microsoft office programs and IT environments.


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